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Chapter IRECIPROCAL PRACTICES AND GIVE UPS
Chapter IIBROKERDEALERS GOING PUBLIC
Chapter IIIANTITRUST LAW APPLICATION
14 other sections not shown
accepted accounting principles accounting affiliate antitrust appraisals arrangements assets Association audit auditors balance sheet BarChris basis broker broker-dealer brokerage capital cent commission rate committee compensation convertible securities Corporate Financing counsel court criminal dealers determination disclosed disclosure distribution documents due diligence earnings effective executive fact filed financial statements Gamble-Skogmo going GOULD guidelines HOCKER institutional investors interest intrastate exemption intrastate offering investment involved issuer lawyer liability line of business management company member firm ment minimum commission mutual fund NASD non-residents participate period pooling practice prior private placement problem projections proposed prospectus proxy statement public offering public ownership purchase question reasonable recapture reciprocal registration statement Release reporting rule S-l review S.D. Cal SARGENT SEC Securities Securities Act selling shareholder shares shelf registration SOMMER specific staff stockholders things tion Trading and Markets transaction underwriter and related underwriter's warrants York Stock Exchange