Annual Report of the SEC.U.S. Government Printing Office |
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Página 29
... tion of a guide relating to disclosure of the interests of counsel named in a prospectus as having passed on the legality of the securities being registered or on other legal matters in connection with the registration or offering of ...
... tion of a guide relating to disclosure of the interests of counsel named in a prospectus as having passed on the legality of the securities being registered or on other legal matters in connection with the registration or offering of ...
Página 34
... tion state- Total num- ber of days ments effective a in registra- tion ments effective a in registra- tion 1970 1971 July 226 August 178 September October 215 230 November 195 December 251 88 **** 59 60 54 54 January February March ...
... tion state- Total num- ber of days ments effective a in registra- tion ments effective a in registra- tion 1970 1971 July 226 August 178 September October 215 230 November 195 December 251 88 **** 59 60 54 54 January February March ...
Página 42
... tion could be conducted pursuant to Section 8 ( e ) prior to the formal institution of stop - order proceedings under Section 8 ( d ) , and that the president's claim of the privilege excused the issuer's failure to cooperate . In view ...
... tion could be conducted pursuant to Section 8 ( e ) prior to the formal institution of stop - order proceedings under Section 8 ( d ) , and that the president's claim of the privilege excused the issuer's failure to cooperate . In view ...
Página 43
... tion , provided specified conditions are met . These include the filing of a notification supplying basic information about the company with the appropriate Regional Office of the Commission , and the filing , and use in the offering ...
... tion , provided specified conditions are met . These include the filing of a notification supplying basic information about the company with the appropriate Regional Office of the Commission , and the filing , and use in the offering ...
Página 48
... tion statement within the period of time the predecessor would have been required to file one , or within such extended period as the Commission may authorize . Exemptions From Registration . - Section 12 ( h ) of the Act au- thorizes ...
... tion statement within the period of time the predecessor would have been required to file one , or within such extended period as the Commission may authorize . Exemptions From Registration . - Section 12 ( h ) of the Act au- thorizes ...
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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