Annual Report of the SEC.U.S. Government Printing Office |
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... September 30 , 1980 Clas- sified by Type of Organization and by Location of Principal Of- fice Table 5 - Principal Business of SECO Broker - Dealers Table 6 - Applications and Registrations of Brokers and Dealers and Investment Advisers ...
... September 30 , 1980 Clas- sified by Type of Organization and by Location of Principal Of- fice Table 5 - Principal Business of SECO Broker - Dealers Table 6 - Applications and Registrations of Brokers and Dealers and Investment Advisers ...
Página 11
... September 1980 , the branch con- ducted the first of a new series of train- ing sessions for the Commission's se- curities compliance examiners . Experts on various aspects of examination tech- niques and the securities laws , drawn ...
... September 1980 , the branch con- ducted the first of a new series of train- ing sessions for the Commission's se- curities compliance examiners . Experts on various aspects of examination tech- niques and the securities laws , drawn ...
Página 12
... September 2 , 1980 , the Commission published a comprehensive release 31 that sets forth staff interpretations regarding Rules 17Ad - 1 through 17Ad - 7 under the Ex- change Act . These rules establish , among other things , minimum per ...
... September 2 , 1980 , the Commission published a comprehensive release 31 that sets forth staff interpretations regarding Rules 17Ad - 1 through 17Ad - 7 under the Ex- change Act . These rules establish , among other things , minimum per ...
Página 12
... September and November 1979 , the Commission held public hearings on the issues raised by the proposed rule . Based on the testimony of the 16 witnesses at the hearings and on the comment letters received , the Commission determined to ...
... September and November 1979 , the Commission held public hearings on the issues raised by the proposed rule . Based on the testimony of the 16 witnesses at the hearings and on the comment letters received , the Commission determined to ...
Página 13
... September 24 , 1980 , to allow time to plan for the or- derly implementation of the new re- quirements . On September 12 , 1980 , the effective dates of the amendments were extended to December 1 , 1980 , to allow additional time for ...
... September 24 , 1980 , to allow time to plan for the or- derly implementation of the new re- quirements . On September 12 , 1980 , the effective dates of the amendments were extended to December 1 , 1980 , to allow additional time for ...
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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