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 8
... persons . The rule would generally limit the time , price and volume of such purchases . In addition to the purchasing limitations , the rule would impose specific disclosure re- quirements that would pertain to repur- chase programs of ...
... persons . The rule would generally limit the time , price and volume of such purchases . In addition to the purchasing limitations , the rule would impose specific disclosure re- quirements that would pertain to repur- chase programs of ...
Página 10
... persons of a broker or dealer by a registered broker or deal- er who is not a member of a registered national securities association . Form U - 4 is also accepted as a uniform appli- cation form for associated persons by 46 states , all ...
... persons of a broker or dealer by a registered broker or deal- er who is not a member of a registered national securities association . Form U - 4 is also accepted as a uniform appli- cation form for associated persons by 46 states , all ...
Página 16
... persons subject to statutory dis- qualifications , as defined in Section 3 ( a ) ( 39 ) of the Exchange Act , to be- come associated with broker - dealers . The following self - regulatory organiza- tions filed such applications : ( a ) ...
... persons subject to statutory dis- qualifications , as defined in Section 3 ( a ) ( 39 ) of the Exchange Act , to be- come associated with broker - dealers . The following self - regulatory organiza- tions filed such applications : ( a ) ...
Página 23
... persons of dividends and interest pursuant to dividend reinvest- ment plans 11 and the delivery of stock by officers and directors as payment for the exercise of stock options.72 71 In order to provide guidance to the public , the ...
... persons of dividends and interest pursuant to dividend reinvest- ment plans 11 and the delivery of stock by officers and directors as payment for the exercise of stock options.72 71 In order to provide guidance to the public , the ...
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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