Annual Report of the SEC.U.S. Government Printing Office |
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... period from 1942 to 1944 , when he served as an attorney with the Office of Price Administration , and the period from 1944 to 1946 , when he was Associate Counsel to Northrop Aircraft , Inc. Commissioner Loomis joined the Commission's ...
... period from 1942 to 1944 , when he served as an attorney with the Office of Price Administration , and the period from 1944 to 1946 , when he was Associate Counsel to Northrop Aircraft , Inc. Commissioner Loomis joined the Commission's ...
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... period ended June 30 , 1971 217 218 218 218 219 220 220 220 221 222 Part 1. 12 months ended December 31 , 1970 Part 2. 6 months ended June 30 , 1971 222 222 Table 7. Comparative share sales and dollar volumes on exchanges Table 8. Block ...
... period ended June 30 , 1971 217 218 218 218 219 220 220 220 221 222 Part 1. 12 months ended December 31 , 1970 Part 2. 6 months ended June 30 , 1971 222 222 Table 7. Comparative share sales and dollar volumes on exchanges Table 8. Block ...
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... period from 1968 through 1970 . Large , unanticipated increases in trading volume occurred in the exchange and over - the - counter markets during the middle 1960's . Existing systems for processing securities transactions proved ...
... period from 1968 through 1970 . Large , unanticipated increases in trading volume occurred in the exchange and over - the - counter markets during the middle 1960's . Existing systems for processing securities transactions proved ...
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... period when some firms lost control of their back offices , sizeable differences sprang up between records reflecting stock ownership and the inventory of securities actually on hand ( or at identifiable outside locations , such as ...
... period when some firms lost control of their back offices , sizeable differences sprang up between records reflecting stock ownership and the inventory of securities actually on hand ( or at identifiable outside locations , such as ...
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... period has not resulted in a perceptible increase in their share of the value of all equity securities during the last decade . Since the past and likely future growth of institutional investors in the equity markets makes essential the ...
... period has not resulted in a perceptible increase in their share of the value of all equity securities during the last decade . Since the past and likely future growth of institutional investors in the equity markets makes essential the ...
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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