Annual Report of the SEC.U.S. Government Printing Office |
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Página ii
... adopt a host of new rules and regulations itself , in response to various concerns raised about corporate accountability in this Country , the Commission has left the initiative to resolving fundamental questions regarding the ...
... adopt a host of new rules and regulations itself , in response to various concerns raised about corporate accountability in this Country , the Commission has left the initiative to resolving fundamental questions regarding the ...
Página iii
... adoption of Rule 242 , as well as its amendments relaxing the requirements of Rule 144 , are two examples . A third is the Commission's recent adoption of the Rule 19c - 3 experiment . Nor has the Commission been reluctant to reexamine ...
... adoption of Rule 242 , as well as its amendments relaxing the requirements of Rule 144 , are two examples . A third is the Commission's recent adoption of the Rule 19c - 3 experiment . Nor has the Commission been reluctant to reexamine ...
Página vi
... adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to ... adopting Rule 19c - 3 last June , the Commission hoped to foster , among other things , a valuable experiment in ...
... adopted as an outgrowth of the study , the staff did recommend a number of other actions for the Commission to ... adopting Rule 19c - 3 last June , the Commission hoped to foster , among other things , a valuable experiment in ...
Página vii
... adopted in modified form after the close of the fiscal year ; and the commitment of the exchanges participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear ...
... adopted in modified form after the close of the fiscal year ; and the commitment of the exchanges participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear ...
Página viii
... adoption by the Commission of a single rule . Last year's report concluded that , while the ultimate success of the profession's program remains to be proven , the significant private - sector progress to date provides a basis for ...
... adoption by the Commission of a single rule . Last year's report concluded that , while the ultimate success of the profession's program remains to be proven , the significant private - sector progress to date provides a basis 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