Annual Report of the SEC.U.S. Government Printing Office |
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Página 1
... resulting confusion , a significant number of securities were either lost or stolen . Errors and delays in executing and ... result , a number of firms , including some of the industry's largest , were forced into liquidation , and many ...
... resulting confusion , a significant number of securities were either lost or stolen . Errors and delays in executing and ... result , a number of firms , including some of the industry's largest , were forced into liquidation , and many ...
Página 4
... result the Exchange moved in August 1971 to strengthen the rule . It dropped the maximum permissible ratio of aggregate indebted- ness to net capital from 20 : 1 to 15 : 1 , and it made mandatory a charge against capital for short stock ...
... result the Exchange moved in August 1971 to strengthen the rule . It dropped the maximum permissible ratio of aggregate indebted- ness to net capital from 20 : 1 to 15 : 1 , and it made mandatory a charge against capital for short stock ...
Página 12
... result in a reduction in the cost to issuers of obtaining financing through the sale of restricted securities since the price of such securities when privately placed is usually substantially lower than the market price of similar 17 ...
... result in a reduction in the cost to issuers of obtaining financing through the sale of restricted securities since the price of such securities when privately placed is usually substantially lower than the market price of similar 17 ...
Página 14
... result these were modified in the legislation passed by Congress . The most sig- nificant aspects of that ... resulting from the breach of fiduciary duty and may not exceed the amount of compensation or payments re- ceived . Section 36 ...
... result these were modified in the legislation passed by Congress . The most sig- nificant aspects of that ... resulting from the breach of fiduciary duty and may not exceed the amount of compensation or payments re- ceived . Section 36 ...
Página 16
... result in " layering " of sales charges and ad- ministrative and other expenses to investors and may have a disruptive effect on the funds whose securities are held in their portfolios . Section 12 ( d ) ( 1 ) of the 1940 Act formerly ...
... result in " layering " of sales charges and ad- ministrative and other expenses to investors and may have a disruptive effect on the funds whose securities are held in their portfolios . Section 12 ( d ) ( 1 ) of the 1940 Act formerly ...
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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