Annual Report of the SEC.U.S. Government Printing Office |
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... Which Commission Entered Appearance During Fiscal Year 151 SEC Operations ..... Chart - Appropriated Funds vs Fees Collected Table 43 - Budget Estimates and Appropriations 152 153 154 ز Regulation of the Securities Markets.
... Which Commission Entered Appearance During Fiscal Year 151 SEC Operations ..... Chart - Appropriated Funds vs Fees Collected Table 43 - Budget Estimates and Appropriations 152 153 154 ز Regulation of the Securities Markets.
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... fees regardless of whether the participants deal with the clearing agency at its main facility or through a branch office . In March 1979 , the Commission so- licited public comment on those two is- sues.10 In addition to the 11 comment ...
... fees regardless of whether the participants deal with the clearing agency at its main facility or through a branch office . In March 1979 , the Commission so- licited public comment on those two is- sues.10 In addition to the 11 comment ...
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... fees . Results of this first year review showed that a large majority ( approxi- mately 91 percent ) of companies en ... fees for non - audit services rep- resenting 0-25 percent of the total audit fees ; 21.9 percent of the companies ...
... fees . Results of this first year review showed that a large majority ( approxi- mately 91 percent ) of companies en ... fees for non - audit services rep- resenting 0-25 percent of the total audit fees ; 21.9 percent of the companies ...
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... fees to the university and charged commis- sions to both sides of the transactions while purportedly acting as a broker for the university . The complaint also charged that another firm had de- frauded the university by charging ex ...
... fees to the university and charged commis- sions to both sides of the transactions while purportedly acting as a broker for the university . The complaint also charged that another firm had de- frauded the university by charging ex ...
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... fees sought by counsel and other professionals ; and ( 6 ) interpretive questions concerning the Bankruptcy Code's exemption from the securities laws . The Commission continues to play a similar role in pending cases under Chapter X ...
... fees sought by counsel and other professionals ; and ( 6 ) interpretive questions concerning the Bankruptcy Code's exemption from the securities laws . The Commission continues to play a similar role in pending cases under Chapter X ...
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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