Annual Report of the SEC.U.S. Government Printing Office |
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... Violations Proposed Swiss treaty Disciplinary action by self - regulatory organizations Commission review of NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement ...
... Violations Proposed Swiss treaty Disciplinary action by self - regulatory organizations Commission review of NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement ...
Página 18
... violated , or willfully aided and abetted violations by another , of any provision of the Securities Act , Securities Ex- change Act , Investment Company Act , or Investment Advisers Act , or any rule or regulation thereunder , or has ...
... violated , or willfully aided and abetted violations by another , of any provision of the Securities Act , Securities Ex- change Act , Investment Company Act , or Investment Advisers Act , or any rule or regulation thereunder , or has ...
Página 52
... violations of the provisions of Sections 12 , 13 or 15 ( d ) of that Act or to compel affirmative compliance with those provisions . During the fiscal year 12 actions to compel such compliance were instituted . In one case a default ...
... violations of the provisions of Sections 12 , 13 or 15 ( d ) of that Act or to compel affirmative compliance with those provisions . During the fiscal year 12 actions to compel such compliance were instituted . In one case a default ...
Página 77
... violations , but does not exercise any surveillance over member firms . It in- vestigates and develops disciplinary cases only when information is disclosed or discovered by other sources . The Advertising De- partment reviews all ...
... violations , but does not exercise any surveillance over member firms . It in- vestigates and develops disciplinary cases only when information is disclosed or discovered by other sources . The Advertising De- partment reviews all ...
Página 99
... violations of the Federal securities laws and the taking of appropriate action to curtail fraudulent and other unlawful activities . The Commission's enforcement program is designed to achieve a broad regulatory impact within the ...
... violations of the Federal securities laws and the taking of appropriate action to curtail fraudulent and other unlawful activities . The Commission's enforcement program is designed to achieve a broad regulatory impact within the ...
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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