Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... investment media . To achieve this regulatory balance , the Commission has ... Company Act of 1940 had produced a pervasive regulatory pattern that had ... investment company managers and directors , especially independent directors . In ...
... investment media . To achieve this regulatory balance , the Commission has ... Company Act of 1940 had produced a pervasive regulatory pattern that had ... investment company managers and directors , especially independent directors . In ...
Página x
... 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 industry . A major regulatory reform ...
... 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 industry . A major regulatory reform ...
Página xi
... Investment Company Act Study , despite long - standing doubts about both the benefits of such use of investment company assets and whether the practice is fair to existing shareholders . Once again , ultimate responsibility for those ...
... Investment Company Act Study , despite long - standing doubts about both the benefits of such use of investment company assets and whether the practice is fair to existing shareholders . Once again , ultimate responsibility for those ...
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... 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 ...
... 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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... Investment Advisers - Fiscal Year 1980 ... Table 7 - Applications and Registrations of Municipal Securities Dealers and Transfer Agents - Fiscal Year 1980 ...... Self - Regulatory ... Companies Registered Under the Investment Company Act.
... Investment Advisers - Fiscal Year 1980 ... Table 7 - Applications and Registrations of Municipal Securities Dealers and Transfer Agents - Fiscal Year 1980 ...... Self - Regulatory ... 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