Annual Report of the SEC.U.S. Government Printing Office |
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Página 5
... transactions and resolving the diverse settlement practices of the various securities markets . Participants were requested to submit additional ideas for con- sideration by the Commission in its role of coordinating and furthering ...
... transactions and resolving the diverse settlement practices of the various securities markets . Participants were requested to submit additional ideas for con- sideration by the Commission in its role of coordinating and furthering ...
Página 27
... transactions in all equity securities of the company with which they are affiliated . DISCLOSURE IN CONNECTION WITH PUBLIC OFFERINGS The basic concept underlying the Securities Act's registration requirements is full disclosure . The ...
... transactions in all equity securities of the company with which they are affiliated . DISCLOSURE IN CONNECTION WITH PUBLIC OFFERINGS The basic concept underlying the Securities Act's registration requirements is full disclosure . The ...
Página 40
... transactions in the securities must furnish a copy of the prospectus to purchasers . Information concerning the actual use of the proceeds will indi- cate whether the statements in the prospectus with respect to such use are borne out ...
... transactions in the securities must furnish a copy of the prospectus to purchasers . Information concerning the actual use of the proceeds will indi- cate whether the statements in the prospectus with respect to such use are borne out ...
Página 41
... transactions by and between its officers and directors . However , the persons listed in the registration statement as officers , direc- tors and stockholders refused to testify when subpoenaed by the staff . The Commission held that ...
... transactions by and between its officers and directors . However , the persons listed in the registration statement as officers , direc- tors and stockholders refused to testify when subpoenaed by the staff . The Commission held that ...
Página 43
... transactions . Under Section 3 ( c ) of the Securities Act , the Commission is authorized to exempt securities issued by a small business invest- ment company subject to the Small Business Investment Act . Acting pursuant to this ...
... transactions . Under Section 3 ( c ) of the Securities Act , the Commission is authorized to exempt securities issued by a small business invest- ment company subject to the Small Business Investment Act . Acting pursuant to this ...
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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