Annual Report of the SEC.U.S. Government Printing Office |
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Página i
... regulation for the accounting profession , are among those matters which could not successfully have been addressed in a compressed time frame . More subtly , it is impossible for a Chairman who remains in office only a relatively brief ...
... regulation for the accounting profession , are among those matters which could not successfully have been addressed in a compressed time frame . More subtly , it is impossible for a Chairman who remains in office only a relatively brief ...
Página ii
... regulatory objectives — that is , its corporate disclosure and self - regulatory oversight programs — are rational and achievable ones . Historically , we have been largely uninvolved in substantive economic regulation or in balancing ...
... regulatory objectives — that is , its corporate disclosure and self - regulatory oversight programs — are rational and achievable ones . Historically , we have been largely uninvolved in substantive economic regulation or in balancing ...
Página iii
... regulatory balance , the Commission has been dedicated to improving those of its traditional core activities — such ... regulation of investment companies . The nearly 40 years of Commission administration of the Investment Company Act ...
... regulatory balance , the Commission has been dedicated to improving those of its traditional core activities — such ... regulation of investment companies . The nearly 40 years of Commission administration of the Investment Company Act ...
Página vi
... regulation of the area , with some of the most significant changes coming just after the close of the last fiscal ... Regulatory Flexibility Act . In a related matter , the Commission actively participated , during the fiscal year , in ...
... regulation of the area , with some of the most significant changes coming just after the close of the last fiscal ... Regulatory Flexibility Act . In a related matter , the Commission actively participated , during the fiscal year , in ...
Página vii
... regulatory measure to require the implementation of an automated linkage between the Intermarket Trading System ( ITS ) and the National Association of Securities Dealers ' ( NASD ) Automated Quotation System , in the event that such a ...
... regulatory measure to require the implementation of an automated linkage between the Intermarket Trading System ( ITS ) and the National Association of Securities Dealers ' ( NASD ) Automated Quotation System , in the event that such a ...
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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