Annual Report of the SEC.U.S. Government Printing Office |
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... Utility Holding Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act of 1940 ; Section 216 of the In- vestment Advisers Act of 1940 ; Section 3 of the Act of June 29 , 1949 , amending the Bretton Woods Agreement Act ...
... Utility Holding Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act of 1940 ; Section 216 of the In- vestment Advisers Act of 1940 ; Section 3 of the Act of June 29 , 1949 , amending the Bretton Woods Agreement Act ...
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... Utility Commissioners . James J. Needham Commissioner Needham was born in Woodhaven , New York , on August 18 , 1926. He received a B.B.A. in 1951 from St. John's University . During 1944-46 , he was in the Naval V - 5 Program at ...
... Utility Commissioners . James J. Needham Commissioner Needham was born in Woodhaven , New York , on August 18 , 1926. He received a B.B.A. in 1951 from St. John's University . During 1944-46 , he was in the Naval V - 5 Program at ...
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... UTILITY HOLDING COMPANIES Composition of registered holding - company systems Section 11 matters in registered holding - company systems Proceedings with respect to acquisitions , sales , and other matters 167 167 168 168 Financing of ...
... UTILITY HOLDING COMPANIES Composition of registered holding - company systems Section 11 matters in registered holding - company systems Proceedings with respect to acquisitions , sales , and other matters 167 167 168 168 Financing of ...
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... Utility Holding Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A 38 - year summary of all injunction cases instituted by the Commission - 1934 to June 30 , 1971 , by ...
... Utility Holding Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A 38 - year summary of all injunction cases instituted by the Commission - 1934 to June 30 , 1971 , by ...
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... Utility Holding Company Act of 1935 , the Investment Advisers Act of 1940 and the Investment Company Act of 1940.34 Under the proposed schedule , fees would be charged for certain filings and services under these acts where no charges ...
... Utility Holding Company Act of 1935 , the Investment Advisers Act of 1940 and the Investment Company Act of 1940.34 Under the proposed schedule , fees would be charged for certain filings and services under these acts where no charges ...
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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