Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... various Congressional hearings of 1970 and 1971 , and the SIPC Study all point up the need for additional investor protection measures . Of those already implemented or under consideration , the most significant are those dealing with ...
... various Congressional hearings of 1970 and 1971 , and the SIPC Study all point up the need for additional investor protection measures . Of those already implemented or under consideration , the most significant are those dealing with ...
Página 5
... various markets , the relationship between these markets , and the disclosure of quotations , prices and trading volume in these markets . In a related area , the Commission held a conference with in- dustry spokesmen in June 1971 on ...
... various markets , the relationship between these markets , and the disclosure of quotations , prices and trading volume in these markets . In a related area , the Commission held a conference with in- dustry spokesmen in June 1971 on ...
Página 13
... various means of im- plementing its initial recommendations and of developing further conclusions that may lead to additional proposals for legislative or administrative action . REFORM OF THE INVESTMENT COMPANY ACT Efforts to obtain ...
... various means of im- plementing its initial recommendations and of developing further conclusions that may lead to additional proposals for legislative or administrative action . REFORM OF THE INVESTMENT COMPANY ACT Efforts to obtain ...
Página 20
... various of these changes , called the attention of registered invest- ment companies and their counsel to actions which needed to be taken in order to comply with the new provisions , and rescinded certain rules and a form superseded by ...
... various of these changes , called the attention of registered invest- ment companies and their counsel to actions which needed to be taken in order to comply with the new provisions , and rescinded certain rules and a form superseded by ...
Página 31
... various measures to make prospectuses and other documents filed with it and furnished to the investing public more understandable to the average in- vestor . Nevertheless , many prospectuses are still lengthy and com- plex . While they ...
... various measures to make prospectuses and other documents filed with it and furnished to the investing public more understandable to the average in- vestor . Nevertheless , many prospectuses are still lengthy and com- plex . While they ...
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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