Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... 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 long - standing views or ...
... 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 long - standing views or ...
Página xi
... amendments to the registration statements of open - end investment companies to become effective without any action ... amendment process and permit the registrants themselves to assume greater responsibility for meeting their disclosure ...
... amendments to the registration statements of open - end investment companies to become effective without any action ... amendment process and permit the registrants themselves to assume greater responsibility for meeting their disclosure ...
Página 2
... amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing prohibition on retransmission of transaction information for purposes of ...
... amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing prohibition on retransmission of transaction information for purposes of ...
Página 10
... amendments would revise and clarify certain requirements of the FOCUS re- porting system so that the reporting ... amended form will be used by the entities which currently use Form U - 4 . The amended form would also be used in imple ...
... amendments would revise and clarify certain requirements of the FOCUS re- porting system so that the reporting ... amended form will be used by the entities which currently use Form U - 4 . The amended form would also be used in imple ...
Página 11
... amendments to Rule 15b10-12 under the Exchange Act . 29 The amended rule exempts the municipal securities transactions of all " Securities and Exchange Commission Only " ( SECO ) brokers and dealers from the Commission's fair practice ...
... amendments to Rule 15b10-12 under the Exchange Act . 29 The amended rule exempts the municipal securities transactions of all " Securities and Exchange Commission Only " ( SECO ) brokers and dealers from the Commission's fair practice ...
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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