Annual Report of the SEC.U.S. Government Printing Office |
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... issuers 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 ...
... issuers 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 ...
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... issuer as well . If the member recommended the securities to a customer it would have to have reasonable grounds to believe that the recommendation was suitable and would also have to maintain a record in its files showing the basis ...
... issuer as well . If the member recommended the securities to a customer it would have to have reasonable grounds to believe that the recommendation was suitable and would also have to maintain a record in its files showing the basis ...
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... issuer of the security.13 The publication of quo- tations for such securities subjects the investing public to a situation having a great potential for fraud and manipulation . In order to protect public investors , the Commission ...
... issuer of the security.13 The publication of quo- tations for such securities subjects the investing public to a situation having a great potential for fraud and manipulation . In order to protect public investors , the Commission ...
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... issuers , including restricted securities required to be registered under the Securities Act of 1933 upon subsequent resale , provide com- panies with additional capital and are thus of particular economic significance . In order to ...
... issuers , including restricted securities required to be registered under the Securities Act of 1933 upon subsequent resale , provide com- panies with additional capital and are thus of particular economic significance . In order to ...
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... issuers in transactions not involving public offerings ( " re- stricted securities " ) and securities held by persons in a control relationship with an issuer . As discussed in the last annual report , 28 the Commission pub- lished a ...
... issuers in transactions not involving public offerings ( " re- stricted securities " ) and securities held by persons in a control relationship with an issuer . As discussed in the last annual report , 28 the Commission pub- lished a ...
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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