Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
... purchases than for the next higher round - lot purchase . PUBLIC OWNERSHIP OF BROKER - DEALERS In March 1970 , the New York Stock Exchange amended its rules to permit the public ownership of member firms provided 9 Securities Exchange ...
... purchases than for the next higher round - lot purchase . PUBLIC OWNERSHIP OF BROKER - DEALERS In March 1970 , the New York Stock Exchange amended its rules to permit the public ownership of member firms provided 9 Securities Exchange ...
Página 12
... purchases of equity securities from issuers , including restricted securities required to be registered under the Securities Act of 1933 upon subsequent resale , provide com- panies with additional capital and are thus of particular ...
... purchases of equity securities from issuers , including restricted securities required to be registered under the Securities Act of 1933 upon subsequent resale , provide com- panies with additional capital and are thus of particular ...
Página 16
... purchasing more than 3 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 ...
... purchasing more than 3 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 ...
Página 24
... purchase feature respecting principal and accrued interest which may lead the investor to believe that his security would have liquidity comparable with that of conventional savings accounts and bank certificates of deposit . The ...
... purchase feature respecting principal and accrued interest which may lead the investor to believe that his security would have liquidity comparable with that of conventional savings accounts and bank certificates of deposit . The ...
Página 25
... purchase or sale of securities . In May 1971 , an injunctive action was instituted against six defendants , who after a takeover of Sharon Steel Corporation allegedly engaged in a fraudulent scheme to use the assets of Sharon's two ...
... purchase or sale of securities . In May 1971 , an injunctive action was instituted against six defendants , who after a takeover of Sharon Steel Corporation allegedly engaged in a fraudulent scheme to use the assets of Sharon's two ...
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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