sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 83
Page 11
... fees, proxy solicitation fees, service charges (including custodial fees), fees in connection with option transactions not executed on an exchange, fees for solicitation of tenders on exchanges of securities, income from sale of ...
... fees, proxy solicitation fees, service charges (including custodial fees), fees in connection with option transactions not executed on an exchange, fees for solicitation of tenders on exchanges of securities, income from sale of ...
Page 12
... fees, subscription fees for periodic publications, fees received from private placements of securities not registered under the Securities Act of 1933, fees for puts, calls, other option transactions not conducted on a national ...
... fees, subscription fees for periodic publications, fees received from private placements of securities not registered under the Securities Act of 1933, fees for puts, calls, other option transactions not conducted on a national ...
Page 4
... fees paid to regulatory bodies in order to nduct a securities business. Examples of such fees are ayments for registration of registered representatives, SECO fees, NASD dues, and exchange membership dues. Additionally, report all ...
... fees paid to regulatory bodies in order to nduct a securities business. Examples of such fees are ayments for registration of registered representatives, SECO fees, NASD dues, and exchange membership dues. Additionally, report all ...
Common terms and phrases
Act and Rule American Stock Exchange application assets Bank Bonds broker or dealer broker-dealer brokers and dealers capital commercial paper Commission's common stock contract customers December delegated authority Eutaw Exchange Act Release Exchange Commission exemption Federal Register fees financial statements Fitzsimmons Secretary SECURITIES Fund George hereby HOLDING COMPANY ACT income interested persons Investment Company Act investors issued Lease market makers Matter ment NASD national securities exchange North Capitol Street NOTICE OF FILING NYSE offer options order a hearing over-the-counter OWNERSHIP EQUITY Penelec post-effective amendment proceedings promulgated proposed rule change proposed transaction PUBLIC UTILITY HOLDING pursuant to delegated pursuant to Section Regulation rules thereunder Secretary SECURITIES EXCHANGE Section 8(f Securities Act Securities and Exchange Securities Exchange Act separate account shares Stock Exchange suant submission subsidiary thereof tion underwriter UTILITY HOLDING COMPANY violations Washington Wilsonville York Stock Exchange