Annual Report of the SEC.U.S. Government Printing Office |
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Página vi
... Securities Markets The past year saw record trading volume in the Nation's securities markets , placing unprecedented demands upon the industry's trading , clearing , and back office capabilities . For example , volume on the New York Stock ...
... Securities Markets The past year saw record trading volume in the Nation's securities markets , placing unprecedented demands upon the industry's trading , clearing , and back office capabilities . For example , volume on the New York Stock ...
Página 4
... Stock Exchange Clear- ing Corporation . 12 Options Trading -As previously re- ported , beginning on July 15 , 1977 ... York Stock Exchange ( NYSE ) .17 Those rules , if complied with , should provide significant additional protection for ...
... Stock Exchange Clear- ing Corporation . 12 Options Trading -As previously re- ported , beginning on July 15 , 1977 ... York Stock Exchange ( NYSE ) .17 Those rules , if complied with , should provide significant additional protection for ...
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... trading practices activities of discount broker - dealers . The branch also worked with the var- ious stock exchanges in order to pre- pare for and alleviate strains on the market created by the New York City transit strike . In March ...
... trading practices activities of discount broker - dealers . The branch also worked with the var- ious stock exchanges in order to pre- pare for and alleviate strains on the market created by the New York City transit strike . In March ...
Página 12
United States. Securities and Exchange Commission. tion of the program was approximately $ 2.6 billion . 31 Transfer ... York Stock Exchange ( NYSE ) ; Pacific Stock Exchange ( PSE ) ; Philadelphia Stock Exchange ( Phlx ) ; and Spokane ...
United States. Securities and Exchange Commission. tion of the program was approximately $ 2.6 billion . 31 Transfer ... York Stock Exchange ( NYSE ) ; Pacific Stock Exchange ( PSE ) ; Philadelphia Stock Exchange ( Phlx ) ; and Spokane ...
Página 98
United States. Securities and Exchange Commission. Broker - Dealers , Branch Offices , Employees The number of broker ... York Stock Ex- change ( " NYSE " ) and 67,683 full - time registered representatives were employed in the securities ...
United States. Securities and Exchange Commission. Broker - Dealers , Branch Offices , Employees The number of broker ... York Stock Ex- change ( " NYSE " ) and 67,683 full - time registered representatives were employed in the securities ...
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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