Annual Report of the SEC.U.S. Government Printing Office, 1963 |
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Página 154
... July 23 , 1962 , a new Form 11 - K was adopted for use in filing annual reports with respect to such plans , and ... ( July 23 , 1962 ) . TB Accounting Series Release No. 91 7 Accounting Series Release No. 92 ( July 20 , 1962 ) . ( July 20 ...
... July 23 , 1962 , a new Form 11 - K was adopted for use in filing annual reports with respect to such plans , and ... ( July 23 , 1962 ) . TB Accounting Series Release No. 91 7 Accounting Series Release No. 92 ( July 20 , 1962 ) . ( July 20 ...
Página 177
... July .. 1,075 , 335 139 , 190 451 , 725 32 , 912 1,715 , 124 368 , 885 275 , 744 8 , 547 278 , 438 1,034,636 29 , 201 3,965 287,658 15 , 292 219 , 670 16 , 433 53 , 910 September .. 13 , 250 132 , 982 677 , 511 268 , 437 74 , 140 15 ...
... July .. 1,075 , 335 139 , 190 451 , 725 32 , 912 1,715 , 124 368 , 885 275 , 744 8 , 547 278 , 438 1,034,636 29 , 201 3,965 287,658 15 , 292 219 , 670 16 , 433 53 , 910 September .. 13 , 250 132 , 982 677 , 511 268 , 437 74 , 140 15 ...
Página 180
... July . 1,075 , 335 1,049 , 287 845 , 655 560,086 285 , 569 21 , 590 10,346 14 , 327 117,655 84,749 28,328 55 , 598 77,412 62 , 658 169 , 051 190,877 182,042 August . September . 813,335 677 , 511 792,866 662 , 165 433 , 982 228 , 183 30 ...
... July . 1,075 , 335 1,049 , 287 845 , 655 560,086 285 , 569 21 , 590 10,346 14 , 327 117,655 84,749 28,328 55 , 598 77,412 62 , 658 169 , 051 190,877 182,042 August . September . 813,335 677 , 511 792,866 662 , 165 433 , 982 228 , 183 30 ...
Página 181
... July . September . 514 1,113 10 , 675 9 , 965 9,476 3 , 822 5 , 654 32 458 32 , 912 32 , 549 15 , 420 575 14 , 846 37 17 , 092 15 , 292 14 , 826 14 , 033 6 , 628 7,405 196 596 15 , 287 14,975 14 , 825 3,669 11 , 156 0 October .. 150 36 ...
... July . September . 514 1,113 10 , 675 9 , 965 9,476 3 , 822 5 , 654 32 458 32 , 912 32 , 549 15 , 420 575 14 , 846 37 17 , 092 15 , 292 14 , 826 14 , 033 6 , 628 7,405 196 596 15 , 287 14,975 14 , 825 3,669 11 , 156 0 October .. 150 36 ...
Página 182
... July August .. September . 14 , 201 14,065 14.065 14,065 13 , 237 13 , 185 7 , 200 7,200 5,985 8 , 547 8,481 8,481 8 , 481 16 , 433 16 , 276 16 , 276 16 , 276 0 0 0 0 October .. 19 , 444 19.360 12 , 110 12 , 110 November . 23,771 23 ...
... July August .. September . 14 , 201 14,065 14.065 14,065 13 , 237 13 , 185 7 , 200 7,200 5,985 8 , 547 8,481 8,481 8 , 481 16 , 433 16 , 276 16 , 276 16 , 276 0 0 0 0 October .. 19 , 444 19.360 12 , 110 12 , 110 November . 23,771 23 ...
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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
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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.