Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... million in its rescue efforts . In order to restore public confidence in the safety of the mark- ets , Congress passed the Securities Investor Protection Act of 1970.1 This legislation , the most important in the securities field in 30 ...
... million in its rescue efforts . In order to restore public confidence in the safety of the mark- ets , Congress passed the Securities Investor Protection Act of 1970.1 This legislation , the most important in the securities field in 30 ...
Página 37
... million in 1970 ; and $ 354 million in 1969 . The amount of securities offered for cash sale for the account of issuer in 1971 amounted to a record $ 58.5 billion , an increase of $ 10.3 billion over the preceding fiscal year and $ 6.4 ...
... million in 1970 ; and $ 354 million in 1969 . The amount of securities offered for cash sale for the account of issuer in 1971 amounted to a record $ 58.5 billion , an increase of $ 10.3 billion over the preceding fiscal year and $ 6.4 ...
Página 41
... million dollar contractual com- mitments described in the registration statement . The Commission also found that the issuer had failed to cooperate in an examina- 18 Securities Act Release No. 5146 ( May 6 , 1971 ) . 19 Securities Act ...
... million dollar contractual com- mitments described in the registration statement . The Commission also found that the issuer had failed to cooperate in an examina- 18 Securities Act Release No. 5146 ( May 6 , 1971 ) . 19 Securities Act ...
Página 47
... million and a class of equity securities held of record by 500 or more persons to register those securities with the Commission , unless one of the exemptions set forth in that section is available , or the Commission issues an ...
... million and a class of equity securities held of record by 500 or more persons to register those securities with the Commission , unless one of the exemptions set forth in that section is available , or the Commission issues an ...
Página 67
... million in 41 countries , compared with a total of $ 1,680 million the previous year . Net income for the year was $ 212 million , virtually unchanged from the previous year . The Bank's Executive Directors recom- mended to the Board of ...
... million in 41 countries , compared with a total of $ 1,680 million the previous year . Net income for the year was $ 212 million , virtually unchanged from the previous year . The Bank's Executive Directors recom- mended to the Board 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