Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... companies . The nearly 40 years of Commission administration of the Investment Company Act of 1940 had produced a pervasive regulatory pattern that had subtly shifted responsibility for business decisions from the private to the public ...
... companies . The nearly 40 years of Commission administration of the Investment Company Act of 1940 had produced a pervasive regulatory pattern that had subtly shifted responsibility for business decisions from the private to the public ...
Página x
... act precipitously or preemptorily . Investment Companies The Investment Company Act of 1940 is perhaps one of the most extreme of the Commission's major regulatory statutes in terms of the degree of constraint which it imposes upon an ...
... act precipitously or preemptorily . Investment Companies The Investment Company Act of 1940 is perhaps one of the most extreme of the Commission's major regulatory statutes in terms of the degree of constraint which it imposes upon an ...
Página xi
... Act Study , despite long - standing doubts about both the benefits of such use of investment company assets and ... company's directors , where it belongs , subject to certain safeguards . Finally , during the past fiscal year , the ...
... Act Study , despite long - standing doubts about both the benefits of such use of investment company assets and ... company's directors , where it belongs , subject to certain safeguards . Finally , during the past fiscal year , the ...
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... Companies and Advisers . Disclosure Study and Related Matters Investment Company Act Study .. ... Legislation Relating to Venture Capital Significant Applications and Interpretations Union Service Group ..... Union - Investment ...
... Companies and Advisers . Disclosure Study and Related Matters Investment Company Act Study .. ... Legislation Relating to Venture Capital Significant Applications and Interpretations Union Service Group ..... Union - Investment ...
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... Act of 1934 - Effective Registrations as of September 30 , 1980 Clas- sified by Type of Organization and by Location of Principal Of- fice Table 5 - Principal Business of SECO Broker ... Companies Registered Under the Investment Company Act.
... Act of 1934 - Effective Registrations as of September 30 , 1980 Clas- sified by Type of Organization and by Location of Principal Of- fice Table 5 - Principal Business of SECO Broker ... Companies Registered Under the Investment Company Act.
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28 SEC Docket accounting actions Advisers Act amendments amicus curiae antifraud provisions applications assets Association audit bank broker broker-dealers CBOE clearing agency Commis Commission's Company Act Release Corp Corporation defendants Director disclosure district court Dollars effective employees enforcement equity Exchange Act Release exemption Expenses FASB Federal securities laws fees Ferrovanadium financial reporting firms fiscal Form funds Holding Company Holding Company Act holding company systems injunction insider trading Investment Advisers Investment Company Act issuers issues June Litigation Release Management ment million mission Municipal Securities NASD NASDAQ NYSE Office operations options participants pending percent proceedings proposed rule proxy pursuant registration statement Regulation regulatory requirements Revenues rule changes Section Securities Act Release Securities Exchange Act self-regulatory organizations September 30 shareholders sion small business SROs staff Stock Exchange surveillance Table tender offer tion Total trading transactions Utilities violations York Stock Exchange