Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página iii
... Federal securities laws is , after all , to ensure the confident , efficient , and fair securities markets that foster the capital formation process which underpins our prosperity and our democracy . In this light , while the Federal ...
... Federal securities laws is , after all , to ensure the confident , efficient , and fair securities markets that foster the capital formation process which underpins our prosperity and our democracy . In this light , while the Federal ...
Página viii
... Federal District Court decision in the case known as Papilsky v . Berndt . The questions raised by this case - which many felt endangered the continued viability of the fixed - price system for underwriting new issues of securities , as ...
... Federal District Court decision in the case known as Papilsky v . Berndt . The questions raised by this case - which many felt endangered the continued viability of the fixed - price system for underwriting new issues of securities , as ...
Página xi
... Federal government , lending credibility to all Commission disclosure and regulatory activities . In addition , we have successfully focused much of our enforcement efforts — which , like other Commission operations , are limited by ...
... Federal government , lending credibility to all Commission disclosure and regulatory activities . In addition , we have successfully focused much of our enforcement efforts — which , like other Commission operations , are limited by ...
Página xii
... Federal securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together with such earlier management efforts as our development of the Commission's Staff Time and Activity Tracking System ...
... Federal securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together with such earlier management efforts as our development of the Commission's Staff Time and Activity Tracking System ...
Página 9
... Federal Plaza , New York , New York 10007 . Region 2. Massachusetts , Connecticut , Rhode Island , Vermont , New Hampshire , Maine . — Willis H. Riccio , 150 Causeway St. , Boston , Massachusetts 02114 . Region 3. Tennessee , Virgin ...
... Federal Plaza , New York , New York 10007 . Region 2. Massachusetts , Connecticut , Rhode Island , Vermont , New Hampshire , Maine . — Willis H. Riccio , 150 Causeway St. , Boston , Massachusetts 02114 . Region 3. Tennessee , Virgin ...
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