Annual Report of the SEC.U.S. Government Printing Office |
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... previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of the fiscal year , the Commission also adopted rules permitting mutual funds , for the first time , to X.
... previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of the fiscal year , the Commission also adopted rules permitting mutual funds , for the first time , to X.
Página xi
United States. Securities and Exchange Commission. permitting mutual funds , for the first time , to use fund assets to finance the distribution of their own shares . This action resolved a persistent controversy and was taken ...
United States. Securities and Exchange Commission. permitting mutual funds , for the first time , to use fund assets to finance the distribution of their own shares . This action resolved a persistent controversy and was taken ...
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... Funds 1975-1979 Table 11 - Sources of Self - Regulatory Organization Funds 108 1975-1979 110 Table 12 - Self - Regulatory Organizations - Clearing Agencies Reve- nues and Expenses - Fiscal Year 1979 .... 112 Table 13 - Revenues and ...
... Funds 1975-1979 Table 11 - Sources of Self - Regulatory Organization Funds 108 1975-1979 110 Table 12 - Self - Regulatory Organizations - Clearing Agencies Reve- nues and Expenses - Fiscal Year 1979 .... 112 Table 13 - Revenues and ...
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... Funds : Assets .... 121 Table 20 - Assets of Private Noninsured Pension Funds . 121 Securities on Exchanges 122 Exchange Volume 122 Table 21 - Market Value and Volume of Sales of Registered Securi- ties Exchanges 123 NASDAQ Volume 124 ...
... Funds : Assets .... 121 Table 20 - Assets of Private Noninsured Pension Funds . 121 Securities on Exchanges 122 Exchange Volume 122 Table 21 - Market Value and Volume of Sales of Registered Securi- ties Exchanges 123 NASDAQ Volume 124 ...
Página 13
... funds and the clearing agency's obligations to participants . The Division will apply the standards in making recommendations to the Com- mission regarding the granting or deni- al of registration to the 13 clearing agencies that ...
... funds and the clearing agency's obligations to participants . The Division will apply the standards in making recommendations to the Com- mission regarding the granting or deni- al of registration to the 13 clearing agencies that ...
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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