Annual Report of the SEC.U.S. Government Printing Office |
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Página 14
... ment Company Act had been substantially eliminated . However , the dramatic growth of the industry and accompanying changes created new situations which were not anticipated in 1940. While the industry accepted or even welcomed many of ...
... ment Company Act had been substantially eliminated . However , the dramatic growth of the industry and accompanying changes created new situations which were not anticipated in 1940. While the industry accepted or even welcomed many of ...
Página 19
... ment Company Act would involve difficulty in accommodating the structure contemplated by the Act with the structure adopted by the industry in order to secure favorable tax treatment for oil and gas investors . The Commission took the ...
... ment Company Act would involve difficulty in accommodating the structure contemplated by the Act with the structure adopted by the industry in order to secure favorable tax treatment for oil and gas investors . The Commission took the ...
Página 20
... ment companies and their counsel to actions which needed to be taken in order to comply with the new provisions , and rescinded certain rules and a form superseded by the amendments . ADOPTION OF RULES UNDER AMENDED SECTION 27 As ...
... ment companies and their counsel to actions which needed to be taken in order to comply with the new provisions , and rescinded certain rules and a form superseded by the amendments . ADOPTION OF RULES UNDER AMENDED SECTION 27 As ...
Página 32
... ment Company Act of 1940 are examined by the Division of Corporate Regulation . See Part V for further discussion of the processing of investment speaking , if it appears that a statement fails to company registration statements . 32 ...
... ment Company Act of 1940 are examined by the Division of Corporate Regulation . See Part V for further discussion of the processing of investment speaking , if it appears that a statement fails to company registration statements . 32 ...
Página 33
... ment is not sent and the Commission either conducts an investiga- tion to determine whether " stop - order " proceedings should be instituted or immediately institutes such proceedings . The exercise of the " stop - order " power during ...
... ment is not sent and the Commission either conducts an investiga- tion to determine whether " stop - order " proceedings should be instituted or immediately institutes such proceedings . The exercise of the " stop - order " power during ...
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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