Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... addition to these philosophical reasons calling for Commission sensitivity and critical self - examination , budgetary and personnel restraints during the period also made it imperative that the Commission consider seriously reordering ...
... addition to these philosophical reasons calling for Commission sensitivity and critical self - examination , budgetary and personnel restraints during the period also made it imperative that the Commission consider seriously reordering ...
Página vi
... addition , however , to the changes in the Commission's proxy rules previously adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to consider , many of which may be pursued during ...
... addition , however , to the changes in the Commission's proxy rules previously adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to consider , many of which may be pursued during ...
Página x
... addition , during fiscal 1980 , the Commission adopted several rules which permit , under certain circumstances , previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of ...
... addition , during fiscal 1980 , the Commission adopted several rules which permit , under certain circumstances , previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of ...
Página 14
... addition , he has served as co - chairman of the Committee on Banking of the Admin- istrative Law Section of the American Bar Association from 1965 to the present . Mr. Friedman took the oath of office as a member of the Securities and ...
... addition , he has served as co - chairman of the Committee on Banking of the Admin- istrative Law Section of the American Bar Association from 1965 to the present . Mr. Friedman took the oath of office as a member of the Securities and ...
Página 3
... addition to the 11 comment letters received by the Commission in the previous fiscal year , the Commis- sion received three letters in fiscal 1980 from NSCC in response to those com- ment letters , as well as a report on the economic ...
... addition to the 11 comment letters received by the Commission in the previous fiscal year , the Commis- sion received three letters in fiscal 1980 from NSCC in response to those com- ment letters , as well as a report on the economic ...
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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