Annual Report of the SEC.U.S. Government Printing Office |
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Página 3
... sion or control of customer securities and contains provisions for reserves against securities of customers which should be but are not in the physical possession or control of a broker - dealer . Supplementing proposed Rule 15c3-4 are ...
... sion or control of customer securities and contains provisions for reserves against securities of customers which should be but are not in the physical possession or control of a broker - dealer . Supplementing proposed Rule 15c3-4 are ...
Página 45
... sion's Division of Corporation Finance . During the 1970 and 1969 fiscal years , 749 and 613 offering sheets , respectively , were filed . The following table indicates the nature and number of Com- mission orders issued in connection ...
... sion's Division of Corporation Finance . During the 1970 and 1969 fiscal years , 749 and 613 offering sheets , respectively , were filed . The following table indicates the nature and number of Com- mission orders issued in connection ...
Página 75
... sion seeking declaratory and injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of splitting ...
... sion seeking declaratory and injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of splitting ...
Página 89
... sion , discount or other allowance not accorded to the general public , or ( 2 ) join with any nonmember broker - dealer in the distribution of an issue of securities to the public . The principal issue in the proceeding relates to ...
... sion , discount or other allowance not accorded to the general public , or ( 2 ) join with any nonmember broker - dealer in the distribution of an issue of securities to the public . The principal issue in the proceeding relates to ...
Página 104
... sion or revocation of registration and may suspend or terminate a broker - dealer's membership in a stock exchange or the NASD . In addition , it may suspend or bar any person from association with a broker - dealer , or censure him ...
... sion or revocation of registration and may suspend or terminate a broker - dealer's membership in a stock exchange or the NASD . In addition , it may suspend or bar any person from association with a broker - dealer , or censure him ...
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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