Annual Report of the SEC.U.S. Government Printing Office |
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Página iv
... Form 10 - K the centerpiece of corporate disclosure for both the registration of new offerings , as well as the Commission's continuous reporting requirements . Furthermore , the Form 10 - K was revised and streamlined , eliminating ...
... Form 10 - K the centerpiece of corporate disclosure for both the registration of new offerings , as well as the Commission's continuous reporting requirements . Furthermore , the Form 10 - K was revised and streamlined , eliminating ...
Página v
... Form S - 18 for registered offerings of up to $ 5 million . A study of the use of the streamlined Form S - 18 during the first 15 months following its adoption in April , 1979 showed that it had been used to raise more than $ 286 ...
... Form S - 18 for registered offerings of up to $ 5 million . A study of the use of the streamlined Form S - 18 during the first 15 months following its adoption in April , 1979 showed that it had been used to raise more than $ 286 ...
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... Form 10 - K Accounting Standards ... Proposed New Registration Forms Form 10 - Q .... Form S - 8 Reorganization of Corporation Finance Disclosure Revisions ; Interpretive Advice . 1 1 1 3 4 6 6 6 7 8 8 8 8 8 9 9 10 10 10 10 11 12 13 13 ...
... Form 10 - K Accounting Standards ... Proposed New Registration Forms Form 10 - Q .... Form S - 8 Reorganization of Corporation Finance Disclosure Revisions ; Interpretive Advice . 1 1 1 3 4 6 6 6 7 8 8 8 8 8 9 9 10 10 10 10 11 12 13 13 ...
Página 10
... Form U - 4 , the Uniform Application for Securi- ties and Commodities Industry Regis- tration , is the personnel form that the Commission requires to be filed on be- half of associated persons of a broker or dealer by a registered ...
... Form U - 4 , the Uniform Application for Securi- ties and Commodities Industry Regis- tration , is the personnel form that the Commission requires to be filed on be- half of associated persons of a broker or dealer by a registered ...
Página 11
... Form MSD , the form used by municipal secu- rities dealers that are banks or separate- ly identifiable departments or divisions of banks.30 The amendments conform a definition in Form MSD to a definition in a rule of the Municipal ...
... Form MSD , the form used by municipal secu- rities dealers that are banks or separate- ly identifiable departments or divisions of banks.30 The amendments conform a definition in Form MSD to a definition in a rule of the Municipal ...
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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