Annual Report of the SEC.U.S. Government Printing Office |
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... injunction cases instituted by the Commission - 1934 to June 30 , 1971 , by calendar year 226 Table 12. Summary of cases instituted against the Commission , cases involving petitions for review of Commission or- ders , cases in which ...
... injunction cases instituted by the Commission - 1934 to June 30 , 1971 , by calendar year 226 Table 12. Summary of cases instituted against the Commission , cases involving petitions for review of Commission or- ders , cases in which ...
Página 17
... injunctions were so disqualified . The new provision parallels comparable provisions in the Securities Exchange and Investment Advisers Acts providing for remedial action through administra- opportunity for hearing , to prohibit any ...
... injunctions were so disqualified . The new provision parallels comparable provisions in the Securities Exchange and Investment Advisers Acts providing for remedial action through administra- opportunity for hearing , to prohibit any ...
Página 25
... injunctive action was instituted against six defendants , who after a takeover of Sharon Steel Corporation allegedly engaged in a fraudulent scheme to use the assets of Sharon's two pension funds to assist in takeovers and consolidation ...
... injunctive action was instituted against six defendants , who after a takeover of Sharon Steel Corporation allegedly engaged in a fraudulent scheme to use the assets of Sharon's two pension funds to assist in takeovers and consolidation ...
Página 75
... injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of splitting brokerage commissions that in some ...
... injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of splitting brokerage commissions that in some ...
Página 78
... injunction and dismissed the complaint , concluding that the Commission had exclusive jurisdiction over delisting procedures . On appeal to the Court of Appeals for the Third Circuit plaintiffs argued that the Exchange's delisting rules ...
... injunction and dismissed the complaint , concluding that the Commission had exclusive jurisdiction over delisting procedures . On appeal to the Court of Appeals for the Third Circuit plaintiffs argued that the Exchange's delisting rules ...
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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