Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... issued proposed new Rules 15c3-3 and 15c3-4 and proposed amended Rules 8c - 1 and 15c2-1 under the Securities Exchange Act of 1934.2 Proposed Rule 15c3-3 requires the complete separation of customer funds from firm funds and provides ...
... issued proposed new Rules 15c3-3 and 15c3-4 and proposed amended Rules 8c - 1 and 15c2-1 under the Securities Exchange Act of 1934.2 Proposed Rule 15c3-3 requires the complete separation of customer funds from firm funds and provides ...
Página 19
... issued redeemable securities or periodic payment plan certificates , but would have left the exclusion intact for those oil and gas funds in which investors make only a single investment . The House version would not have altered the ...
... issued redeemable securities or periodic payment plan certificates , but would have left the exclusion intact for those oil and gas funds in which investors make only a single investment . The House version would not have altered the ...
Página 37
... issued ; $ 27.6 billion of bonds , debentures and notes were reg- istered for the account of the issuer for cash sale as compared to $ 18.4 billion and $ 11.7 billion in fiscal years 1970 and 1969 , re- spectively . Securities ...
... issued ; $ 27.6 billion of bonds , debentures and notes were reg- istered for the account of the issuer for cash sale as compared to $ 18.4 billion and $ 11.7 billion in fiscal years 1970 and 1969 , re- spectively . Securities ...
Página 41
... issued even after the sale of securities has begun , is to bar distribution of the securities so long as the order ... issuance of stop orders , and the others were pending as of the end of the year . One of these was terminated through ...
... issued even after the sale of securities has begun , is to bar distribution of the securities so long as the order ... issuance of stop orders , and the others were pending as of the end of the year . One of these was terminated through ...
Página 43
... issued by a small business invest- ment company subject to the Small Business Investment Act . Acting pursuant to this authority the Commission has adopted Regulation E , which exempts such securities up to a maximum offering price of ...
... issued by a small business invest- ment company subject to the Small Business Investment Act . Acting pursuant to this authority the Commission has adopted Regulation E , which exempts such securities up to a maximum offering price of ...
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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