Annual Report of the SEC. |
Dentro del libro
Página vi
Volume of securities registered .. Registration statements filed .. Stop order proceedings ... Examinations and investigations.Exemption from regist tion of small issues.Exempt offerings under Regulation A ..
Volume of securities registered .. Registration statements filed .. Stop order proceedings ... Examinations and investigations.Exemption from regist tion of small issues.Exempt offerings under Regulation A ..
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Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1961 and the 6 - month period ended June 30 , 1962 .--Part 1. 12 months ended December 31 , 1961 . Part 2. 6 months ended June 30 , 1962 Table ...
Dollar volume and share volume of sales effected on securities exchanges in the calendar year 1961 and the 6 - month period ended June 30 , 1962 .--Part 1. 12 months ended December 31 , 1961 . Part 2. 6 months ended June 30 , 1962 Table ...
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Aside from the sheer volume of statements , a record number of 1,377 statements representing 60 percent of all those filed , related to companies that had not previously been subject to the registration process .
Aside from the sheer volume of statements , a record number of 1,377 statements representing 60 percent of all those filed , related to companies that had not previously been subject to the registration process .
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SECURITIES EFFECTIVELY REGISTERED WITH S.E.C. DOLLARS BILLIONS 1935 - 1962 20 DOLLAR VOLUME 16 12 8 0 HUNDREDS 20 NUMBER OF REGISTRATIONS 15 10 5 1935 40 55 60 45 50 ( Fiscal Years ) DS . 41261 large group of statements which had been ...
SECURITIES EFFECTIVELY REGISTERED WITH S.E.C. DOLLARS BILLIONS 1935 - 1962 20 DOLLAR VOLUME 16 12 8 0 HUNDREDS 20 NUMBER OF REGISTRATIONS 15 10 5 1935 40 55 60 45 50 ( Fiscal Years ) DS . 41261 large group of statements which had been ...
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The increase in the elapsed time has been due primarily to the cumulative effect of the unprecedented volume of registration statements filed , particularly those filed by issuers that had never before filed under the Act , and the lack ...
The increase in the elapsed time has been due primarily to the cumulative effect of the unprecedented volume of registration statements filed , particularly those filed by issuers that had never before filed under the Act , and the lack ...
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Contenido
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Términos y frases comunes
action activities addition adopted adviser amendments American amount Annual Report appeal application appointment Association authority Bank bonds broker-dealer capital changes Chapter Closed Commission Commission's Complaint filed Corp Corporation court dealers defendants denied Development directors dismissed distribution district court effective entered exemption Final judgment fiscal Form funds injunction instituted interest Investment Company Act investors involved issuer issues judgment by consent July June 30 listed March matters ment million Mines motion NASD offering Office Pending percent period persons petition practices principal proceedings proposed provides pursuant receiver registration statement Regulation relating remaining reports represented request respect Rule Section Securities Act Securities Exchange Act Sept shares Southern District Special staff Stock Exchange Study suspended tion Title 18 trading transactions Trust United violations York
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.
Información bibliográfica
| Título | Annual Report of the SEC. |
| Autor | United States. Securities and Exchange Commission |
| Editor | U.S. Government Printing Office, 1963 |
| Procedencia del original | Universidad de Michigan |
| Digitalizado | 29 Dic. 2006 |
| Exportar cita | BiBTeX EndNote RefMan |