Annual Report of the SEC.U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 100
Página vii
... dealers and over - the - counter markets .. Registrative Administrative proceedings --- Revocation and denial proceedings . Suspension proceedings___ Other sanctions___ Net capital rule .. Financial statements ... Broker - dealer ...
... dealers and over - the - counter markets .. Registrative Administrative proceedings --- Revocation and denial proceedings . Suspension proceedings___ Other sanctions___ Net capital rule .. Financial statements ... Broker - dealer ...
Página 2
... Dealers , Inc. is undergoing thorough examination . Intensive inquiries are being con- ducted into the rules and practices of the stock exchanges , including those relating to the role of specialists , floor traders and odd - lot dealers ...
... Dealers , Inc. is undergoing thorough examination . Intensive inquiries are being con- ducted into the rules and practices of the stock exchanges , including those relating to the role of specialists , floor traders and odd - lot dealers ...
Página 15
... dealers participating in distributions have failed to remit amounts collected to the issuer , or to return payments made by customers to them where such return was required unless the distribution was completed within a specified period ...
... dealers participating in distributions have failed to remit amounts collected to the issuer , or to return payments made by customers to them where such return was required unless the distribution was completed within a specified period ...
Página 16
... dealer delivers to him a written statement setting forth certain material information concern- ing the arrangement being offered . In addition ... dealers , and Rule 17a - 4 requires the preservation 16 SECURITIES AND EXCHANGE COMMISSION.
... dealer delivers to him a written statement setting forth certain material information concern- ing the arrangement being offered . In addition ... dealers , and Rule 17a - 4 requires the preservation 16 SECURITIES AND EXCHANGE COMMISSION.
Página 17
... dealer inspec- tions and enforcement activities . Since the National Association of Securities Dealers , Inc. , and various national securities exchanges require all personnel engaged in managing , supervising or handling securities ...
... dealer inspec- tions and enforcement activities . Since the National Association of Securities Dealers , Inc. , and various national securities exchanges require all personnel engaged in managing , supervising or handling securities ...
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Términos y frases comunes
action amendments American Stock Exchange amicus curiae amount Annual Report appeal filed application appointment assets Association bonds broker broker-dealer Closed Commission's common stock Complaint and request Complaint filed consent entered Corp dealers defendants entered directors dismissed district court effective ended June 30 Exchange Act Release exemption Final judgment fiscal fiscal year ended funds Holding Company Holding Company Act investment adviser Investment Company Act investors issuer issues judgment by consent July June 13 June 30 ment million Mines NASD national securities exchange offering Order entered Pending percent petition preferred stock Preliminary injunction principal proceedings proposed provisions proxy receiver filed registration statement Regulation remaining defendant Rule Securities Act Securities Exchange Act security holders Sept Southern District staff stockholders subsidiaries suspended tion Title 18 Total transactions Trust U.S.C. Secs underwriter violations York Stock Exchange
Pasajes populares
Página 99 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 60 - Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 109 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 30 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página 59 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 36 - Any security issued by a building and loan association, homestead association, savings and loan association, or similar institution, substantially all the business of which is confined to the making of loans to members (but the...
Página 41 - A corporation which is licensed to operate as a small business investment company under the Small Business Investment Act Of 1958 (15 USC Ch.
Página 66 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 194 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 2 - Region 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City)— Regional Administrator, 503 US Court House, 10th and Lamar Streets, Fort Worth.