Compilation of Releases Dealing with Matters Arising Under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940U.S. Government Printing Office, 1968 - 57 páginas |
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1934 The Securities account of customers advice aggregate indebtedness amount anti-fraud provisions applicable bank beneficial owner beneficial ownership broker or dealer broker-dealer brokers and dealers certificate circumstances client collateral Commodity Exchange Act computing net capital convertible into cash day loan determining net capital disclosure distribution effect engaged Exchange Act Release Exchange Commission today excluded from aggregate exemption filed firm future commodity contracts haircut hedge clauses hypothecate Investment Advisers Act Investment Company investment counsel investor issuer liabilities lien manager market price market value ment mortgage mutual funds national securities exchange ordinarily over-the-counter broker overriding commission paragraph percent person pledge proxy solicitation Public Utility Act purpose question readily convertible rules Section 206 Securities Act Securities and Exchange securities carried Securities Exchange Act securities held selling group short position short sale short selling soliciting material supra syndicate tion transaction underwriting group unlawful violation York Stock Exchange