Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... held by 1 See 36th Annual Report , pp . 3-5 , for a discussion of the history and major provisions of this legislation . broker - dealers . Proposed Rule 15c3-4 , concerned with 2 Securities Exchange Act Release No. 9388 . 2 SECURITIES ...
... held by 1 See 36th Annual Report , pp . 3-5 , for a discussion of the history and major provisions of this legislation . broker - dealers . Proposed Rule 15c3-4 , concerned with 2 Securities Exchange Act Release No. 9388 . 2 SECURITIES ...
Página 5
... held a conference with in- dustry spokesmen in June 1971 on the subject of the stock certificate . Discussion centered on methods of improving the efficiency of securities handling systems . Presentations were made by proponents of ...
... held a conference with in- dustry spokesmen in June 1971 on the subject of the stock certificate . Discussion centered on methods of improving the efficiency of securities handling systems . Presentations were made by proponents of ...
Página 10
... held by institutions or held for the benefit of persons whose investments are managed by institutions . Among the Commission's initial conclusions and recommenda- tions were the following : 1. Although institutions have increased their ...
... held by institutions or held for the benefit of persons whose investments are managed by institutions . Among the Commission's initial conclusions and recommenda- tions were the following : 1. Although institutions have increased their ...
Página 21
... held by persons in a control relationship with an issuer . As discussed in the last annual report , 28 the Commission pub- lished a proposed Rule 144 dealing with those matters in Septem- ber 1970. A large number of comments was ...
... held by persons in a control relationship with an issuer . As discussed in the last annual report , 28 the Commission pub- lished a proposed Rule 144 dealing with those matters in Septem- ber 1970. A large number of comments was ...
Página 22
United States. Securities and Exchange Commission. has held the securities at risk , limited amounts of securities through brokers without registration , provided adequate public information about the issuer is available . Sellers of the ...
United States. Securities and Exchange Commission. has held the securities at risk , limited amounts of securities through brokers without registration , provided adequate public information about the issuer is available . Sellers of the ...
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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