Annual Report of the Securities and Exchange Commission

accounting action amended American Stock Exchange amicus curiae amount appeal filed application broker-dealer Closed Commission's Complaint and request Complaint filed Dec Complaint filed Mar consent entered Court of Appeals debtor defendant pleaded guilty defendants entered Jan denied dismissed Eastern District ended June 30 enforcement entered June entered Mar entered Nov entered Oct Exchange Commission exemption Federal fendants filed Apr filed Jan Final judgment fiscal year 1963 included indictment investigation investment adviser Investment Company Act investors issuer issues judgment by consent July 19 June 14 June 25 June 30 ment motion NASD offering Order entered Pending percent Petition proceedings provisions pursuant Receiver appointed receiver filed regional offices registration statement Regulation remaining defendant Rule Section Securities Act Securities and Exchange Securities Exchange Act Southern District Stock Exchange stockholders subpoena Summons and complaint TABLE tion Title 18 Total transactions U.S. District Court U.S.C. Secs violations York Stock Exchange