Annual Report of the SEC.U.S. Government Printing Office |
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Página v
... exempt from Commission registration . The effects of this Rule were assessed in a monitoring report issued late last year , and consideration is presently being given to increasing the dollar limit of the exemption . Significant changes ...
... exempt from Commission registration . The effects of this Rule were assessed in a monitoring report issued late last year , and consideration is presently being given to increasing the dollar limit of the exemption . Significant changes ...
Página
... Exemptions 113 Section 12 ( h ) Exemptions 113 Rule 10b - 6 Exemptions ... 113 Exemptions for Foreign Private Issuers 113 Financial Institutions ... 114 Stock Transactions of Selected Financial Institutions 114 Table 14 - Common Stock ...
... Exemptions 113 Section 12 ( h ) Exemptions 113 Rule 10b - 6 Exemptions ... 113 Exemptions for Foreign Private Issuers 113 Financial Institutions ... 114 Stock Transactions of Selected Financial Institutions 114 Table 14 - Common Stock ...
Página 12
... exemption from registration as a national securities exchange . During the fiscal year , the Commis- sion completed a review of its policy concerning applications for unlisted trading privileges in listed securities . The Commission ...
... exemption from registration as a national securities exchange . During the fiscal year , the Commis- sion completed a review of its policy concerning applications for unlisted trading privileges in listed securities . The Commission ...
Página 11
... exempt from its reporting require- ments uncontested summary sanctions imposed for violations of exchange reg- ulations ... exemption from the general exchange member proprietary trading prohibitions of Sec- tion 11 ( a ) ( 1 ) of the ...
... exempt from its reporting require- ments uncontested summary sanctions imposed for violations of exchange reg- ulations ... exemption from the general exchange member proprietary trading prohibitions of Sec- tion 11 ( a ) ( 1 ) of the ...
Página 23
... exempt certain transactions by officers , directors , and ten percent ben- eficial owners from the insider reporting and liability provisions of Section 16 of the Exchange Act . Included among these transactions were the reinvest- ment ...
... exempt certain transactions by officers , directors , and ten percent ben- eficial owners from the insider reporting and liability provisions of Section 16 of the Exchange Act . Included among these transactions were the reinvest- ment ...
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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