Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
... percent discount from the public commission rate for certain broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was continued ...
... percent discount from the public commission rate for certain broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was continued ...
Página 15
... percent of the payments made during the first year could be deducted for sales charges . Thus , plan- holders who ... percent of any payment and not more than an average of 16 percent over the first 4 years of the plan . Under the other ...
... percent of the payments made during the first year could be deducted for sales charges . Thus , plan- holders who ... percent of any payment and not more than an average of 16 percent over the first 4 years of the plan . Under the other ...
Página 16
... percent of the outstanding voting stock of another investment company unless it already owned at least 25 percent . This limitation was inadequate , since it applied only to purchases by registered investment companies . Hence , a ...
... percent of the outstanding voting stock of another investment company unless it already owned at least 25 percent . This limitation was inadequate , since it applied only to purchases by registered investment companies . Hence , a ...
Página 17
... percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY CONTRACTS The ... percentage of a registered investment company's net asset value averaged over a specified period , which provides for ...
... percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY CONTRACTS The ... percentage of a registered investment company's net asset value averaged over a specified period , which provides for ...
Página 22
... percent of the outstanding stock of an issuer in any six - month period . The securities must be sold in " brokers ' transactions " within the meaning of Section 4 ( 4 ) of the Securities Act . There can be no solicitation of buy orders ...
... percent of the outstanding stock of an issuer in any six - month period . The securities must be sold in " brokers ' transactions " within the meaning of Section 4 ( 4 ) of the Securities Act . There can be no solicitation of buy orders ...
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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