Annual Report of the SEC.U.S. Government Printing Office |
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... 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
... 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
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... mission under the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Public Utility Holding Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A 38 - year ...
... mission under the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Public Utility Holding Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A 38 - year ...
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... mission on June 30 , 1970. Following extended public hearings , the Commission announced on October 22 , 1970 that with certain modifications the new schedule would not be objected to . On February 11 , 1971 , the Commission announced ...
... mission on June 30 , 1970. Following extended public hearings , the Commission announced on October 22 , 1970 that with certain modifications the new schedule would not be objected to . On February 11 , 1971 , the Commission announced ...
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... mission to submit a legislative proposal in this area , hopefully to be worked out in cooperation with the oil and gas industry , within eighteen months of enactment of the 1970 Act . IMPLEMENTATION OF INVESTMENT COMPANY ACT AMENDMENTS ...
... mission to submit a legislative proposal in this area , hopefully to be worked out in cooperation with the oil and gas industry , within eighteen months of enactment of the 1970 Act . IMPLEMENTATION OF INVESTMENT COMPANY ACT AMENDMENTS ...
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... mission . During the year ended June 30 , 1971 , the Bank made 19 loans totaling the equivalent of $ 230,510,000 from its Ordinary Capital resources , bringing the net total of loan commitments outstanding , after cancellations , to 212 ...
... mission . During the year ended June 30 , 1971 , the Bank made 19 loans totaling the equivalent of $ 230,510,000 from its Ordinary Capital resources , bringing the net total of loan commitments outstanding , after cancellations , to 212 ...
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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