Annual Report of the SEC.U.S. Government Printing Office |
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Página ii
... business enterprises , including their boards of directors , where it best belongs - within the domains of private - sector responsibility and decisionmaking . Further , the Commission has appreciated that the broader interests ii.
... business enterprises , including their boards of directors , where it best belongs - within the domains of private - sector responsibility and decisionmaking . Further , the Commission has appreciated that the broader interests ii.
Página iii
... directors , especially independent directors . In addition to these philosophical reasons calling for Commission sensitivity and critical self - examination , budgetary and personnel restraints during the period also made it imperative ...
... directors , especially independent directors . In addition to these philosophical reasons calling for Commission sensitivity and critical self - examination , budgetary and personnel restraints during the period also made it imperative ...
Página x
... directors - especially the independent directors - in overseeing management decisions . To pursue this effort , the Investment Company Act Study Group was established in the Division of Investment Management during fiscal year 1978. The ...
... directors - especially the independent directors - in overseeing management decisions . To pursue this effort , the Investment Company Act Study Group was established in the Division of Investment Management during fiscal year 1978. The ...
Página xi
... directors , where it belongs , subject to certain safeguards . Finally , during the past fiscal year , the Commission adopted Rule 465 under the Securities Act , permitting amendments to the registration statements of open - end ...
... directors , where it belongs , subject to certain safeguards . Finally , during the past fiscal year , the Commission adopted Rule 465 under the Securities Act , permitting amendments to the registration statements of open - end ...
Página 7
... Director Edward F. Greene , Director , Division of Corporation Finance Lee B. Spencer , Deputy Director William C. Wood , Associate Director Mary E. T. Beach , Associate Director John T. Shinkle , Associate Director Stanley Sporkin ...
... Director Edward F. Greene , Director , Division of Corporation Finance Lee B. Spencer , Deputy Director William C. Wood , Associate Director Mary E. T. Beach , Associate Director John T. Shinkle , Associate Director Stanley Sporkin ...
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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