Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página
... law firm of Scribner , Hall , Casey , Thornburg & Thompson . Mr. Casey has authored and edited a broad spectrum of ... Law , and became associated with a Chicago law firm specializing in securities law . He re- turned to Oklahoma City in ...
... law firm of Scribner , Hall , Casey , Thornburg & Thompson . Mr. Casey has authored and edited a broad spectrum of ... Law , and became associated with a Chicago law firm specializing in securities law . He re- turned to Oklahoma City in ...
Página
... Law School in 1941 , where he was a Law Journal editor . Prior to joining the staff of the Securities and Exchange Commission , Commissioner Loomis practiced law with the firm of O'Melveny and Myers in Los Angeles , California , ex ...
... Law School in 1941 , where he was a Law Journal editor . Prior to joining the staff of the Securities and Exchange Commission , Commissioner Loomis practiced law with the firm of O'Melveny and Myers in Los Angeles , California , ex ...
Página 8
... laws and the broker or dealer has no reason to believe that such reporting requirements are not being complied with , or ( 3 ) the broker or dealer has specified information concerning the issuer reasonably believed to be correct and ...
... laws and the broker or dealer has no reason to believe that such reporting requirements are not being complied with , or ( 3 ) the broker or dealer has specified information concerning the issuer reasonably believed to be correct and ...
Página 18
... laws per- mitted banks to operate so - called commingled managing agency accounts was pending before the Supreme Court , in Investment Company Institute v . Camp . A Senate bill would have expressly permitted banks and savings and loan ...
... laws per- mitted banks to operate so - called commingled managing agency accounts was pending before the Supreme Court , in Investment Company Institute v . Camp . A Senate bill would have expressly permitted banks and savings and loan ...
Página 24
... law with respect to the maintenance of reserves . Accordingly , the Commission cautioned members of the public to ... laws to consider and disclose the risk and other pertinent factors . PROPOSED FEE SCHEDULE Over the past few years ...
... law with respect to the maintenance of reserves . Accordingly , the Commission cautioned members of the public to ... laws to consider and disclose the risk and other pertinent factors . PROPOSED FEE SCHEDULE Over the past few years ...
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