Annual Report of the SEC.U.S. Government Printing Office |
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... fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ended June 30 , 1971 Part 1. Distribution by months Part 2. Purpose of registration and type of security Table 3. Brokers and dealers ...
... fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ended June 30 , 1971 Part 1. Distribution by months Part 2. Purpose of registration and type of security Table 3. Brokers and dealers ...
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... fiscal year the number of securities quoted on the system had reached approximately 2700 with a total market value of over $ 110 billion , and there were about 475 registered NASDAQ market makers . The NASD began developing a " stock ...
... fiscal year the number of securities quoted on the system had reached approximately 2700 with a total market value of over $ 110 billion , and there were about 475 registered NASDAQ market makers . The NASD began developing a " stock ...
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... fiscal year invited comments and suggestions from interested persons with respect to reasonable measures which might be taken to improve the readability and informativeness of prospectuses and other docu- ments the purpose of which is ...
... fiscal year invited comments and suggestions from interested persons with respect to reasonable measures which might be taken to improve the readability and informativeness of prospectuses and other docu- ments the purpose of which is ...
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... fiscal year the processing time was substantially below the figure for the year as a whole . The following table shows by months during the 1971 fiscal year the number of registration statements which became effec- tive , and the number ...
... fiscal year the processing time was substantially below the figure for the year as a whole . The following table shows by months during the 1971 fiscal year the number of registration statements which became effec- tive , and the number ...
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... fiscal year are shown in the following table : Reason for registrant's withdrawal request 1. Withdrawal requested after receipt of the staff's comments Number of statements Percent of total withdrawn withdrawn 60 6.9 2. Change in ...
... fiscal year are shown in the following table : Reason for registrant's withdrawal request 1. Withdrawal requested after receipt of the staff's comments Number of statements Percent of total withdrawn withdrawn 60 6.9 2. Change in ...
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36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange