Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
... increases . 10 Other conditions included : the elimination of the commission surcharge ; an in- crease to 40 percent in the discount for broker - dealers who are not Exchange members ; a requirement of continued unrestricted service to ...
... increases . 10 Other conditions included : the elimination of the commission surcharge ; an in- crease to 40 percent in the discount for broker - dealers who are not Exchange members ; a requirement of continued unrestricted service to ...
Página 10
... increased their share of out- standing equity securities ( relative to non - institutional holders ) , the increase has been relatively slow - paced over time . Institutions have tended to concentrate their purchases and holdings in the ...
... increased their share of out- standing equity securities ( relative to non - institutional holders ) , the increase has been relatively slow - paced over time . Institutions have tended to concentrate their purchases and holdings in the ...
Página 11
... increase in their share of the value of all equity securities during the last decade . Since the past and likely ... increased willingness on the part of many institutions to adopt more aggressive investment strategies and trading ...
... increase in their share of the value of all equity securities during the last decade . Since the past and likely ... increased willingness on the part of many institutions to adopt more aggressive investment strategies and trading ...
Página 17
... increases and decreases in compensation on the basis of invest- ment performance of the company as measured against an ap- propriate index of securities prices or such other measure of investment performance as the Commission may ...
... increases and decreases in compensation on the basis of invest- ment performance of the company as measured against an ap- propriate index of securities prices or such other measure of investment performance as the Commission may ...
Página 25
... increases or adjustments to offset the increasing needs for direct appropriations for agency operating costs . Consistent with this suggestion , the Commission , in September 1971 , published for comment a proposed fee schedule covering ...
... increases or adjustments to offset the increasing needs for direct appropriations for agency operating costs . Consistent with this suggestion , the Commission , in September 1971 , published for comment a proposed fee schedule covering ...
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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