Annual Report of the SEC.U.S. Government Printing Office |
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... proceedings Exemption from registration of small issues Exempt offerings under Regulation A Reports of sales Suspension of exemption Exempt offerings under Regulation B Reports of sales Exempt offerings under Regulation F 31 2222 28 29 ...
... proceedings Exemption from registration of small issues Exempt offerings under Regulation A Reports of sales Suspension of exemption Exempt offerings under Regulation B Reports of sales Exempt offerings under Regulation F 31 2222 28 29 ...
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... proceedings 104 Judicial review of administrative decisions 115 Civil proceedings 117 Participation as amicus curiae 123 Criminal proceedings 125 Organized crime program 128 Exchanges NASD Section of Securities Violations Proposed Swiss ...
... proceedings 104 Judicial review of administrative decisions 115 Civil proceedings 117 Participation as amicus curiae 123 Criminal proceedings 125 Organized crime program 128 Exchanges NASD Section of Securities Violations Proposed Swiss ...
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... proceedings PART VI REGULATION OF PUBLIC - UTILITY HOLDING COMPANIES Composition of registered holding - company systems Section 11 matters in registered holding - company systems Proceedings with respect to acquisitions , sales , and ...
... proceedings PART VI REGULATION OF PUBLIC - UTILITY HOLDING COMPANIES Composition of registered holding - company systems Section 11 matters in registered holding - company systems Proceedings with respect to acquisitions , sales , and ...
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... proceedings should be instituted or immediately institutes such proceedings . The exercise of the " stop - order " power during fiscal year 1971 is discussed on pages 40-42 . TIME REQUIRED TO COMPLETE REGISTRATION The Commission's staff ...
... proceedings should be instituted or immediately institutes such proceedings . The exercise of the " stop - order " power during fiscal year 1971 is discussed on pages 40-42 . TIME REQUIRED TO COMPLETE REGISTRATION The Commission's staff ...
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... PROCEEDINGS Section 8 ( d ) of the Securities Act gives the Commission the power , after notice and opportunity for hearing , to issue a stop order " suspending " the effectiveness of a registration statement which includes an untrue ...
... PROCEEDINGS Section 8 ( d ) of the Securities Act gives the Commission the power , after notice and opportunity for hearing , to issue a stop order " suspending " the effectiveness of a registration statement which includes an untrue ...
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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