Annual Report of the SEC.U.S. Government Printing Office |
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... involved Part 2. Number of stock and bond issues on each exchange as of June 30 , 1971 , classified by trading status , and number of issuers involved Table 5 . Value of stocks on exchanges Table 6. Dollar volume and share volume of ...
... involved Part 2. Number of stock and bond issues on each exchange as of June 30 , 1971 , classified by trading status , and number of issuers involved Table 5 . Value of stocks on exchanges Table 6. Dollar volume and share volume of ...
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... involved in an order , a proposed revision of the intra - member charges for floor brokerage and clearance , and a proposal for reasonable non - member access . On June 28 , 1971 , the Exchange presented a new commission rate structure ...
... involved in an order , a proposed revision of the intra - member charges for floor brokerage and clearance , and a proposal for reasonable non - member access . On June 28 , 1971 , the Exchange presented a new commission rate structure ...
Página 13
... involvement in corporate affairs : voting authority , policies towards corporate management , participation in ... involved the reduction of sales loads imposed on the acquisition of mutual fund shares , the elimination of the so ...
... involvement in corporate affairs : voting authority , policies towards corporate management , participation in ... involved the reduction of sales loads imposed on the acquisition of mutual fund shares , the elimination of the so ...
Página 34
... involved . Of the 3,404 registration statements filed in the 1971 fiscal year , 997 , or 29 percent , were filed by companies that had not previously filed registration statements under the Securities Act . Comparable figures for the ...
... involved . Of the 3,404 registration statements filed in the 1971 fiscal year , 997 , or 29 percent , were filed by companies that had not previously filed registration statements under the Securities Act . Comparable figures for the ...
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... involved or the limited character of the public offering . The statute imposes a maximum limitation of $ 500,000 upon the size of the issues which may be exempted by the Commission in the exercise of this power.20 20 Public Law 91-565 ...
... involved or the limited character of the public offering . The statute imposes a maximum limitation of $ 500,000 upon the size of the issues which may be exempted by the Commission in the exercise of this power.20 20 Public Law 91-565 ...
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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