Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página ii
... Commission's relationship with the private sector has traditionally been more one of oversight than prescription - more cooperative than adversarial . The high esteem in which the Commission has been held is at least in part ...
... Commission's relationship with the private sector has traditionally been more one of oversight than prescription - more cooperative than adversarial . The high esteem in which the Commission has been held is at least in part ...
Página iii
United States. Securities and Exchange Commission. Further , the Commission has appreciated that the broader interests of ... Commission's adoption of Rule 242 , as well as its amendments relaxing the requirements of Rule 144 , are two ...
United States. Securities and Exchange Commission. Further , the Commission has appreciated that the broader interests of ... Commission's adoption of Rule 242 , as well as its amendments relaxing the requirements of Rule 144 , are two ...
Página iv
United States. Securities and Exchange Commission. made it imperative that the Commission consider seriously reordering its ... Commission's many programs , improved the sensitivity and stability of the Commission's relationships with the ...
United States. Securities and Exchange Commission. made it imperative that the Commission consider seriously reordering its ... Commission's many programs , improved the sensitivity and stability of the Commission's relationships with the ...
Página v
... Commission's efforts to assist smaller issuers . During the past four years , the Commission has eased registration and disclosure burdens on such issuers to the greatest extent consistent with investor protection and sound ...
... Commission's efforts to assist smaller issuers . During the past four years , the Commission has eased registration and disclosure burdens on such issuers to the greatest extent consistent with investor protection and sound ...
Página vi
... Commission's proxy rules previously adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to consider , many of which may be pursued during the present fiscal year . Finally , the ...
... Commission's proxy rules previously adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to consider , many of which may be pursued during the present fiscal year . Finally , the ...
Otras ediciones - Ver todas
Términos y frases comunes
28 SEC Docket accounting actions Advisers Act amendments amicus curiae antifraud provisions applications assets Association audit bank broker broker-dealers CBOE clearing agency Commis Commission's Company Act Release Corp Corporation defendants Director disclosure district court Dollars effective employees enforcement equity Exchange Act Release exemption Expenses FASB Federal securities laws fees Ferrovanadium financial reporting firms fiscal Form funds Holding Company Holding Company Act holding company systems injunction insider trading Investment Advisers Investment Company Act issuers issues June Litigation Release Management ment million mission Municipal Securities NASD NASDAQ NYSE Office operations options participants pending percent proceedings proposed rule proxy pursuant registration statement Regulation regulatory requirements Revenues rule changes Section Securities Act Release Securities Exchange Act self-regulatory organizations September 30 shareholders sion small business SROs staff Stock Exchange surveillance Table tender offer tion Total trading transactions Utilities violations York Stock Exchange