Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página iii
... capital formation process which underpins our prosperity and our democracy . In this light , while the Federal securities laws speak specifically only to the need for investor protection and the maintenance of fair and orderly markets ...
... capital formation process which underpins our prosperity and our democracy . In this light , while the Federal securities laws speak specifically only to the need for investor protection and the maintenance of fair and orderly markets ...
Página v
... capital formation process . In order to administer the new integrated disclosure system in a cost - effective manner , the Division of Corporation Finance undertook its first major reorganization in almost 20 years . Reorganized now ...
... capital formation process . In order to administer the new integrated disclosure system in a cost - effective manner , the Division of Corporation Finance undertook its first major reorganization in almost 20 years . Reorganized now ...
Página vi
... capital . On another front , during the past fiscal year , the Commission authorized publication of its Staff Report on Corporate Accountability , the product of a three- year study of mechanisms of corporate accountability ...
... capital . On another front , during the past fiscal year , the Commission authorized publication of its Staff Report on Corporate Accountability , the product of a three- year study of mechanisms of corporate accountability ...
Página viii
... capital raising capacity which had come to rely on that system - were resolved through approval by the Commission of new rules of the NASD governing such transactions . Again , the Commission and the industry were able to arrive at a ...
... capital raising capacity which had come to rely on that system - were resolved through approval by the Commission of new rules of the NASD governing such transactions . Again , the Commission and the industry were able to arrive at a ...
Página 14
... Capital Markets Policy . Mr. Friedman is the author of a number of published speeches and articles on corpo- rate , financial and securities law , and of An Affair with Freedom : Mr. Justice Brennan , published in 1967. He also ...
... Capital Markets Policy . Mr. Friedman is the author of a number of published speeches and articles on corpo- rate , financial and securities law , and of An Affair with Freedom : Mr. Justice Brennan , published in 1967. He also ...
Otras ediciones - Ver todas
Términos y frases comunes
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