Annual Report of the SEC.U.S. Government Printing Office, 1967 |
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Página v
... Broker - dealer financial reports_ . OPERATION OF THE SECURITIES ACTS AMENDMENTS OF 1964____ 10 Extension of ... broker - dealers who are not members of registered se- curities association____ . 15 Proceedings to obtain compliance with ...
... Broker - dealer financial reports_ . OPERATION OF THE SECURITIES ACTS AMENDMENTS OF 1964____ 10 Extension of ... broker - dealers who are not members of registered se- curities association____ . 15 Proceedings to obtain compliance with ...
Página vii
... SECURITIES Regulation of broker - dealer and investment adviser practices . -- Registration , financial responsibility , record maintenance and financial reporting requirements .. Registration_ Capital requirements with respect to broker - ...
... SECURITIES Regulation of broker - dealer and investment adviser practices . -- Registration , financial responsibility , record maintenance and financial reporting requirements .. Registration_ Capital requirements with respect to broker - ...
Página viii
... SECURITIES Regulation of broker - dealer and investment adviser practices — Con . Supervision of activities of National Association of Securities Dealers , Inc .‒‒‒‒‒ NASD disciplinary actions . Commission review of NASD disciplinary ...
... SECURITIES Regulation of broker - dealer and investment adviser practices — Con . Supervision of activities of National Association of Securities Dealers , Inc .‒‒‒‒‒ NASD disciplinary actions . Commission review of NASD disciplinary ...
Página 7
... Broker - Dealer Financial Reports For the past several years , the Commission has continued its research into broker - dealer operations in an attempt to understand fully the economic forces at work in the industry . In this connection ...
... Broker - Dealer Financial Reports For the past several years , the Commission has continued its research into broker - dealer operations in an attempt to understand fully the economic forces at work in the industry . In this connection ...
Página 11
... securities registered under Section 12 ( g ) . A total of 92 information statements in definitive form was filed pursuant ... broker - dealer and mem- ber of the New York Stock Exchange , whose stock is not publicly traded , but is held ...
... securities registered under Section 12 ( g ) . A total of 92 information statements in definitive form was filed pursuant ... broker - dealer and mem- ber of the New York Stock Exchange , whose stock is not publicly traded , but is held ...
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Términos y frases comunes
32nd Annual Report action activities aggregate amended American Stock Exchange amicus curiae amount anti-fraud provisions application assets associated persons Bank bonds broker-dealer brokers and dealers capital Chapter Commis Commission Commission's common stock Company Act Release Court of Appeals debtor decision defendants directors disclosure district court dollar effective Exchange Act Release exemption filed firm fiscal fiscal year 1967 foreign Holding Company Holding Company Act indictment investigation investment advisers Investment Company Act involved issues June 30 ment million mutual fund NASD national securities exchange Northeast Utilities offering over-the-counter pany participated pending percent principal proceedings proposed proxy purchase regional offices registration statements Regulation reorganization rules Section 12(g Securities Act Securities Exchange Act securities laws security holders share volume shareholders sion staff stockholders subsidiaries suspended tion Total transactions trustee Unit investment trust unlisted trading privileges Utilities violations York Stock Exchange
Pasajes populares
Página 115 - ... 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 42 - 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 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 ix - 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 105 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities...
Página 31 - ... is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offering...
Página 25 - Sec. 8. (a) Except as hereinafter provided, the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may determine, having due regard to the adequacy of the information respecting the issuer theretofore available to the public, to the facility with which the nature of the securities to be registered, their relationship to the capital structure of the issuer and the rights of holders thereof can be understood, and to...
Página 31 - The Commission may from time to time by its rules and regulations, and subject to such terms and conditions as may be prescribed...
Página 1 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 63 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...