Annual Report of the SEC.U.S. Government Printing Office |
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United States. Securities and Exchange Commission. I □ 1 1 COMMISSIONERS AND PRINCIPAL STAFF OFFICERS ( As of December 1.
United States. Securities and Exchange Commission. I □ 1 1 COMMISSIONERS AND PRINCIPAL STAFF OFFICERS ( As of December 1.
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... Principal Staff Officers A. JONES YORKE , Executive Director ALAN B. LEVENSON , Director , Division of Corporation Finance THOMAS N. HOLLOWAY , Associate Director RALPH C. HOCKER , Associate Director SOLOMON FREEDMAN , Director ...
... Principal Staff Officers A. JONES YORKE , Executive Director ALAN B. LEVENSON , Director , Division of Corporation Finance THOMAS N. HOLLOWAY , Associate Director RALPH C. HOCKER , Associate Director SOLOMON FREEDMAN , Director ...
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... in 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.
... in 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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... principal office Table 4. Number of security issues and issuers on exchanges Part 1. Unduplicated count as of June 30 , 1971 of the number of stock and bond issues admitted to trading on exchanges , and the number of issuers involved ...
... principal office Table 4. Number of security issues and issuers on exchanges Part 1. Unduplicated count as of June 30 , 1971 of the number of stock and bond issues admitted to trading on exchanges , and the number of issuers involved ...
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... principal Commission proposals involved the reduction of sales loads imposed on the acquisition of mutual fund shares , the elimination of the so - called " front - end load , " and establish- ment of a means to test the fairness of ...
... principal Commission proposals involved the reduction of sales loads imposed on the acquisition of mutual fund shares , the elimination of the so - called " front - end load , " and establish- ment of a means to test the fairness of ...
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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