Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página
... operations in the Euro- pean Theatre . In 1948 , he served on the legal staff of the European headquarters of the Marshall Plan . Subsequently , he served as special tax counsel for the Senate Small Business Committee . He has served as ...
... operations in the Euro- pean Theatre . In 1948 , he served on the legal staff of the European headquarters of the Marshall Plan . Subsequently , he served as special tax counsel for the Senate Small Business Committee . He has served as ...
Página 5
... operations of various markets , the relationship between these markets , and the disclosure of quotations , prices ... operational system satisfying the need for the prompt consummation of securities transactions and resolving the ...
... operations of various markets , the relationship between these markets , and the disclosure of quotations , prices ... operational system satisfying the need for the prompt consummation of securities transactions and resolving the ...
Página 7
... operations and an annual independ- ently audited and certified financial statement . Finally , in addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it ...
... operations and an annual independ- ently audited and certified financial statement . Finally , in addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it ...
Página 8
... operations of the NASDAQ automated quotations system with approximately 2300 over - the - counter securities . The system , which is operated by Bunker - Ramo Corporation for the NASD , has three levels of operating service . Level I ...
... operations of the NASDAQ automated quotations system with approximately 2300 over - the - counter securities . The system , which is operated by Bunker - Ramo Corporation for the NASD , has three levels of operating service . Level I ...
Página 49
... operations.25 The semi- annual report on Form 9 - K was replaced by a new quarterly report on Form 10 - Q calling for summarized financial informa- tion.26 As heretofore , current reports on Form 8 - K were required to be filed for each ...
... operations.25 The semi- annual report on Form 9 - K was replaced by a new quarterly report on Form 10 - Q calling for summarized financial informa- tion.26 As heretofore , current reports on Form 8 - K were required to be filed for each ...
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