Publish Year Decade: 1970 - 1979 / Sudoc Stem: SE 1.2 - Blacklight Search Results

Start Over Publish Year Decade 1970 - 1979 Sudoc Stem SE 1.2

21. Work of Securities and Exchange Commission.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: Nov. 1971
SuDoc number:: SE 1.2:Se 26/3/971

22. Information on registration and regulation of broker-dealers.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [Sept. 1971.]
SuDoc number:: SE 1.2:B 78/2/971

23. Financial condition of broker-dealers, question of adequacy of capital and regulatory safeguards; [by Le Manh Tri and Terry M. Chuppe].

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: June 1971
SuDoc number:: SE 1.2:B 78/3

24. Classification, assets and location of registered investment companies under Investment company act of 1940, as of June 30, 1970; prepared by Division of Corporate Regulation.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1971.]
SuDoc number:: SE 1.2:In 8/12/970

25. Index of active registered investment companies under Investment company act of 1940 and related to investment advisers, principal underwriters, sponsors (i.e. depositor) and underlying companies, as of June 30, 1971.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1971.]
SuDoc number:: SE 1.2:In 8/16

26. List of companies registered under Investment company act of 1940, as of June 1970; prepared by Division of Corporate Regulation.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1971.]
SuDoc number:: SE 1.2:In 8/11/970

27. List of companies registered under Investment company act of 1940, as of June 1971; prepared by Division of Corporate Regulation.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1971.]
SuDoc number:: SE 1.2:In 8/11/971

28. Cost of flotation of registered equity issues, 1963-65.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [Mar. 1970.]
SuDoc number:: SE 1.2:F 66/6/963-65

29. Compilation of releases dealing with matters frequently arising under Securities act of 1933.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: Feb. 1, 1970
SuDoc number:: SE 1.2:R 27/970

30. List of open-end investment companies registered under Investment company act of 1940, whose shares are offered at no sales load or premium not exceeding 3%, as of June 30, 1970; prepared by Division of Corporate Regulation.

Corporate/Agency Authors:: Securities and Exchange Commission
Publisher:: Securities and Exchange Commission
Date:: [1970.]
SuDoc number:: SE 1.2:In 8/15

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