Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... enforcement programs - which are central to ensuring honest and healthy securities markets . At the same time , however , the Commission recognizes its responsibility to accept regulatory risks and balance competing interests so as not ...
... enforcement programs - which are central to ensuring honest and healthy securities markets . At the same time , however , the Commission recognizes its responsibility to accept regulatory risks and balance competing interests so as not ...
Página xi
... Enforcement and Litigation The individual initiatives which I have just described comprise only a small part of the wide range of activities in which the Commission has been involved during the past fiscal year . For example , our ...
... Enforcement and Litigation The individual initiatives which I have just described comprise only a small part of the wide range of activities in which the Commission has been involved during the past fiscal year . For example , our ...
Página 7
... Enforcement Irwin M. Borowski , Associate Director Benjamin Greenspoon , Associate Director David P. Doherty , Associate Director Theodore A. Levine , Associate Director Douglas Scarff , Director , Division of Market Regulation Sheldon ...
... Enforcement Irwin M. Borowski , Associate Director Benjamin Greenspoon , Associate Director David P. Doherty , Associate Director Theodore A. Levine , Associate Director Douglas Scarff , Director , Division of Market Regulation Sheldon ...
Página
... Enforcement Program . Sanctions and Remedies Insider Trading Corporate Takeovers , Tender Offers and Beneficial Ownership .. Administrative Proceedings Under Section 15 ( c ) ( 4 ) of the Securities Ex- change Act ..... Questionable ...
... Enforcement Program . Sanctions and Remedies Insider Trading Corporate Takeovers , Tender Offers and Beneficial Ownership .. Administrative Proceedings Under Section 15 ( c ) ( 4 ) of the Securities Ex- change Act ..... Questionable ...
Página
... Enforcement 136 Types of Proceedings ... 136 Table 32 - Types of Proceedings 137 Table 33 - Investigations of Possible Violations of the Acts Adminis- tered by the Commission .. 140 Table 34 - Administrative Proceedings Instituted ...
... Enforcement 136 Types of Proceedings ... 136 Table 32 - Types of Proceedings 137 Table 33 - Investigations of Possible Violations of the Acts Adminis- tered by the Commission .. 140 Table 34 - Administrative Proceedings Instituted ...
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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