Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... Investor Protection Act of 1970.1 This legislation , the most important in the securities field in 30 years , established the Securities Investor Protection Corpo- ration to provide insurance for customer accounts . Customers are now ...
... Investor Protection Act of 1970.1 This legislation , the most important in the securities field in 30 years , established the Securities Investor Protection Corpo- ration to provide insurance for customer accounts . Customers are now ...
Página 6
... investors in the case of firms which traditionally have served such investors ; the development of uniform reporting by member firms of income and expenses ; the adoption of rules permitting member firms to enter into cooperative ...
... investors in the case of firms which traditionally have served such investors ; the development of uniform reporting by member firms of income and expenses ; the adoption of rules permitting member firms to enter into cooperative ...
Página 8
... investing public to a situation having a great potential for fraud and manipulation . In order to protect public investors , the Commission adopted Rule 15c2-11 under the Exchange Act.14 With certain exceptions , the rule prohibits ...
... investing public to a situation having a great potential for fraud and manipulation . In order to protect public investors , the Commission adopted Rule 15c2-11 under the Exchange Act.14 With certain exceptions , the rule prohibits ...
Página 10
... investors and will speed up the clearing and settling of over - the - counter trans- actions . INSTITUTIONAL INVESTOR STUDY On March 10 , 1971 , the Commission transmitted to the Congress the Institutional Investor Study Report , 16 ...
... investors and will speed up the clearing and settling of over - the - counter trans- actions . INSTITUTIONAL INVESTOR STUDY On March 10 , 1971 , the Commission transmitted to the Congress the Institutional Investor Study Report , 16 ...
Página 15
... investors in mutual fund shares , the 1970 Act amended Section 22 ( b ) of the Invest- ment Company Act to provide that the National Association of Securities Dealers , Inc. ( NASD ) may by rule prohibit its mem- bers from offering such ...
... investors in mutual fund shares , the 1970 Act amended Section 22 ( b ) of the Invest- ment Company Act to provide that the National Association of Securities Dealers , Inc. ( NASD ) may by rule prohibit its mem- bers from offering such ...
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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