Annual Report of the SEC.U.S. Government Printing Office |
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Página 10
... filed with the Commission by broker - dealers.2 27 The proposed amendments would revise and clarify certain requirements of the FOCUS re- porting system so that the reporting burden is minimized , consistent with the attainment of other ...
... filed with the Commission by broker - dealers.2 27 The proposed amendments would revise and clarify certain requirements of the FOCUS re- porting system so that the reporting burden is minimized , consistent with the attainment of other ...
Página 11
... filed with the Commission , forms required by the bank regulatory agencies containing similar information with respect to su- pervisory personnel . During the fiscal year , the Commis- sion , pursuant to Section 17 ( b ) of the Exchange ...
... filed with the Commission , forms required by the bank regulatory agencies containing similar information with respect to su- pervisory personnel . During the fiscal year , the Commis- sion , pursuant to Section 17 ( b ) of the Exchange ...
Página 12
... filed amendments to the proposal in September 1980 as suggested by the Commission.44 ( Subsequent to the close of the fiscal year , the Commission approved the NASD's revised rules pro- posals . ) During the fiscal year , the Commis ...
... filed amendments to the proposal in September 1980 as suggested by the Commission.44 ( Subsequent to the close of the fiscal year , the Commission approved the NASD's revised rules pro- posals . ) During the fiscal year , the Commis ...
Página 13
... filed 12 rule pro- posals . The Commission considered a number of those proposals and others which were pending from previous years . 49 On March 6 , 1980 , the Commission approved an MSRB rule that established standards of ethical ...
... filed 12 rule pro- posals . The Commission considered a number of those proposals and others which were pending from previous years . 49 On March 6 , 1980 , the Commission approved an MSRB rule that established standards of ethical ...
Página 14
... filing . In May 1979 , the Commission proposed a number of amendments to Rule 19b - 4 and Form 19b - 4A57 which were de- signed to improve and simplify the rule filing process , thus expediting Commis- sion review of proposed rule ...
... filing . In May 1979 , the Commission proposed a number of amendments to Rule 19b - 4 and Form 19b - 4A57 which were de- signed to improve and simplify the rule filing process , thus expediting Commis- sion review of proposed rule ...
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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