Author: Securities and Exchange Commission / Catalog Issue Year Decade: 1970 - 1979 - Blacklight Search Results

Start Over Author Securities and Exchange Commission Catalog Issue Year Decade 1970 - 1979

81. List of companies registered under Investment company act of 1940, as of Apr. 30, 1973, pts. 1 and 2.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.2:In 8/11/973/pt.1,2

82. New challenges for securities industry, address by Ray Garrett, jr. , Chairman, Securities and Exchange Commission, [at] Investment Association, New York, N.Y., Oct. 3, 1973.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.14:G 19/27

83. New directions in professional responsibility, address by Ray Garrett, jr., Chairman, Securities and Exchange Commission [at] American Bar Association, National Institute, Washington, D.C., Oct. 11, 1973.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.14:G 19/12

84. Protecting investors through comparable regulation, address by Ray Garrett, jr., Chairman, Securities and Exchange Commission, [at] Bond Club, Chicago, Ill., Oct. 19, 1973.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.14:G 19/34

85. Report of Industrial Issuers Advisory Committee to Securities and Exchange Commission, Dec. 22, 1972.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.2:In 2/972

86. Role of analyst in evolving market system, address by G. Bradford Cook, Chairman, Securities and Exchange Commission, [at] New York Society of Security Analysts, New York, N.Y., Mar. 27, 1973.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.14:C 77/3

87. Rules of practice and rules relating to investigations and code of behavior governing ex parte communications between persons outside Commission and decisional employees, as in effect Dec. 1, 1972.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.6:R 86/4/972

88. Securities act of 1933, as in effect Dec. 1, 1972 Public no. 22, 73d Congress, H.R. 5480.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1973.]
SuDoc number:: SE 1.5:Se 2/3/972

89. Small account investment management services, recommendations for clearer guidelines and policies.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: Jan. 1973
SuDoc number:: SE 1.2:M 31

90. Variable life insurance and petition for issuance and amendment of exemptive rules.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: Jan. 1973
SuDoc number:: SE 1.2:L 63

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