Annual Report of the Securities and Exchange CommissionU.S. Government Printing Office, 1968 |
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Página 4
... fees . They also dealt , how- ever , with a number of other areas as to which the Commission be- lieved legislative action was required . The Commission's proposals represented 10 years of effort by and on behalf of the Commission . In ...
... fees . They also dealt , how- ever , with a number of other areas as to which the Commission be- lieved legislative action was required . The Commission's proposals represented 10 years of effort by and on behalf of the Commission . In ...
Página 5
... an appropriate forum in which the reasonableness of the management fee could be tested . ' S. 3724 , 90th Cong . , 2d Sess . ( 1968 ) . The bill as passed by the Senate provided that a THIRTY - FOURTH ANNUAL REPORT 5.
... an appropriate forum in which the reasonableness of the management fee could be tested . ' S. 3724 , 90th Cong . , 2d Sess . ( 1968 ) . The bill as passed by the Senate provided that a THIRTY - FOURTH ANNUAL REPORT 5.
Página 77
... fees for lawyers and account- ants , printing and engraving costs , Federal and State fees and other expenses connected with the issuance of securities . The current study covers initial costs of flotation only and does not attempt to ...
... fees for lawyers and account- ants , printing and engraving costs , Federal and State fees and other expenses connected with the issuance of securities . The current study covers initial costs of flotation only and does not attempt to ...
Página 84
... fees . Now , 15b9-1 deals with initial fees while Securities Exchange Act Release No. 8308 ( May 8 , 1968 ) . 15b9-2 deals with annual fees which include a base fee 84 SECURITIES AND EXCHANGE COMMISSION.
... fees . Now , 15b9-1 deals with initial fees while Securities Exchange Act Release No. 8308 ( May 8 , 1968 ) . 15b9-2 deals with annual fees which include a base fee 84 SECURITIES AND EXCHANGE COMMISSION.
Página 85
... fee applicable to all broker - dealers , a fee for associated persons and a fee for each office maintained by the broker - dealer . For purposes of simplification , the new rules prescribe the fee structure and the actual fees will be ...
... fee applicable to all broker - dealers , a fee for associated persons and a fee for each office maintained by the broker - dealer . For purposes of simplification , the new rules prescribe the fee structure and the actual fees will be ...
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33rd Annual Report action activities adopted amended American Electric Power American Stock Exchange amicus curiae amount application approval assets associated Bank bonds broker-dealer capital Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors debtor decision defendants delisting directors disclosure distribution district court effective Electric Exchange Act Release exemption fees firm fiscal year 1968 funds Holding Company Holding Company Act industry instituted interest investigation investment adviser Investment Company Act investors involved issuer June 30 listed ment million NASD offering Office OHIO STATE UNIVERSITY over-the-counter pany participation pending Pennzoil percent persons principal prior proposed proxy purchases pursuant to Section registration statement Regulation reorganization requirements Rule Section 11(b Securities Act Release Securities Exchange Act securities markets security holders share volume shareholders staff stockholders subsidiary tion transactions trust unit investment trusts utility violations York Stock Exchange