74 pages matching Commission's in this book
Results 1-3 of 74
What people are saying - Write a review
We haven't found any reviews in the usual places.
450 Fifth Street Act and Rule Advisers Act amendments American Stock Exchange Amex annuity Applicants approved assets broker-dealer capital CBOE Rule CDSC class of shares closed-end fund Commission's contracts dealer Division of Invest Division of Market equity Exchange Act Release Exchange Commission exemption federal filed hearing hereby Index options Interested persons investment adviser Investment Company Act investors ISCC issued issuer Item Jonathan G Katz Secretary SECURITIES Management market maker ment Morgan Stanley mutual funds NASD notice NYSE offer participants Partnership payment period Philadelphia Stock Exchange Phlx Portfolio posed rule change proposed rule change purchase pursuant to delegated pursuant to Section received registered regulatory request SEAQ Secretary SECURITIES EXCHANGE Securities Act Securities and Exchange Securities Exchange Act Self-Regulatory Organization's Statement Self-Regulatory Organizations Separate Account shareholders sion Stock Exchange submit thereunder tion trading transactions Trust violation