Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página 5
... interest requires in the way of rules governing the operations of various markets , the relationship between these markets , and the disclosure of quotations , prices and trading volume in these markets . In a related area , the ...
... interest requires in the way of rules governing the operations of various markets , the relationship between these markets , and the disclosure of quotations , prices and trading volume in these markets . In a related area , the ...
Página 24
... interest at a rate lower than those prevailing for long term corporate debt , but somewhat higher than the pre- vailing rates for savings accounts and certificates of deposit . When the security does not have a relatively short maturity ...
... interest at a rate lower than those prevailing for long term corporate debt , but somewhat higher than the pre- vailing rates for savings accounts and certificates of deposit . When the security does not have a relatively short maturity ...
Página 27
... interest . Issuers of registered securities must file annual and other periodic reports which are designed to provide a public file of current material information . The Exchange Act also requires disclosure of ma- terial information to ...
... interest . Issuers of registered securities must file annual and other periodic reports which are designed to provide a public file of current material information . The Exchange Act also requires disclosure of ma- terial information to ...
Página 29
... interest in the issuer presently held or to be acquired by named counsel in connection with the registration or offering of the securities . The theory underlying the requirement is that potential investors should be told of any interests ...
... interest in the issuer presently held or to be acquired by named counsel in connection with the registration or offering of the securities . The theory underlying the requirement is that potential investors should be told of any interests ...
Página 42
... interest and the protection of investors . EXEMPTION FROM REGISTRATION OF SMALL ISSUES The Commission is authorized under Section 3 ( b ) of the Securi- ties Act to exempt , by its rules and regulations and subject to such terms and ...
... interest and the protection of investors . EXEMPTION FROM REGISTRATION OF SMALL ISSUES The Commission is authorized under Section 3 ( b ) of the Securi- ties Act to exempt , by its rules and regulations and subject to such terms and ...
Otras ediciones - Ver todas
Términos y frases comunes
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