Annual Report of the SEC.U.S. Government Printing Office |
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Página 1
... industry . A financial squeeze ensued , and the industry's overall capital base shrank under the impact of operating losses and a significant drop in market value of trading and investment accounts . As a result , a number of firms ...
... industry . A financial squeeze ensued , and the industry's overall capital base shrank under the impact of operating losses and a significant drop in market value of trading and investment accounts . As a result , a number of firms ...
Página 2
... industry's capitalization ; reliance upon customers ' funds and securities ; lack of internal controls over financial condition ; faulty handling of customer accounts ; and stock record differ- ences . The experiences of recent years ...
... industry's capitalization ; reliance upon customers ' funds and securities ; lack of internal controls over financial condition ; faulty handling of customer accounts ; and stock record differ- ences . The experiences of recent years ...
Página 5
... industry - wide operational system satisfying the need for the prompt consummation of securities transactions and resolving the diverse settlement practices of the various securities markets . Participants were requested to submit ...
... industry - wide operational system satisfying the need for the prompt consummation of securities transactions and resolving the diverse settlement practices of the various securities markets . Participants were requested to submit ...
Página 10
... industry that services the markets . Part Four analyzes certain aspects of the impact of institutional investors on portfolio companies : institutional participation in primary equity financing and institutional economic power and ...
... industry that services the markets . Part Four analyzes certain aspects of the impact of institutional investors on portfolio companies : institutional participation in primary equity financing and institutional economic power and ...
Página 12
... industry ; and institutional membership on stock exchanges . Although no definitive conclu- sions were reached as to these matters , the Commission em- phasized the importance of its prior determination that fixed commission rates on ...
... industry ; and institutional membership on stock exchanges . Although no definitive conclu- sions were reached as to these matters , the Commission em- phasized the importance of its prior determination that fixed commission rates on ...
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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