Annual Report of the SEC.U.S. Government Printing Office |
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Página 28
... pending legal proceedings ; and the purposes to which the proceeds of the offering are to be applied , and it must include financial statements certified by an independent public accountant . The registration statement of a foreign ...
... pending legal proceedings ; and the purposes to which the proceeds of the offering are to be applied , and it must include financial statements certified by an independent public accountant . The registration statement of a foreign ...
Página 31
... pending matter.11 The rule provides that when 8 Securities Act Release No. 5119 ( December 16 , 1970 ) . 9 Securities Act Release No. 5164 ( July 16 , 1971 ) . 10 Securities Act Release No. 5145 ( April 30 , 1971 ) . 11 Securities Act ...
... pending matter.11 The rule provides that when 8 Securities Act Release No. 5119 ( December 16 , 1970 ) . 9 Securities Act Release No. 5164 ( July 16 , 1971 ) . 10 Securities Act Release No. 5145 ( April 30 , 1971 ) . 11 Securities Act ...
Página 35
... Pending at June 30 , 1970 2,046 Pending at June 30 , 1971 1,712 Total 40,881 44,285 Aggregate dollar amount : As filed ( in billions ) $ 552.8 As effective ( in billions ) 531.2 $ 70.0 69.5 $ 622.8 600.7 ( a ) Includes 219 registration ...
... Pending at June 30 , 1970 2,046 Pending at June 30 , 1971 1,712 Total 40,881 44,285 Aggregate dollar amount : As filed ( in billions ) $ 552.8 As effective ( in billions ) 531.2 $ 70.0 69.5 $ 622.8 600.7 ( a ) Includes 219 registration ...
Página 40
... Pending at beginning of fiscal year Initiated during fiscal year Closed during fiscal year Pending at close of fiscal year 51 15 66 37 29 STOP ORDER PROCEEDINGS Section 8 ( d ) of the Securities Act gives the Commission the power ...
... Pending at beginning of fiscal year Initiated during fiscal year Closed during fiscal year Pending at close of fiscal year 51 15 66 37 29 STOP ORDER PROCEEDINGS Section 8 ( d ) of the Securities Act gives the Commission the power ...
Página 41
... pending and during the year two additional proceedings were instituted . Two of the proceedings were terminated through the issuance of stop orders , and the others were pending as of the end of the year . One of these was terminated ...
... pending and during the year two additional proceedings were instituted . Two of the proceedings were terminated through the issuance of stop orders , and the others were pending as of the end of the year . One of these was terminated ...
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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