Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página 14
... firm of Debevoise , Plimpton , Lyons & Gates as an associate in August 1965 , and became a partner of that firm in January 1971 . From 1974 to 1977 he was also a lecturer in advanced securities regulation and cor- poration finance at ...
... firm of Debevoise , Plimpton , Lyons & Gates as an associate in August 1965 , and became a partner of that firm in January 1971 . From 1974 to 1977 he was also a lecturer in advanced securities regulation and cor- poration finance at ...
Página 4
... firms . Upon finding that the self - regulatory organizations had responsibly ad- dressed the major regulatory deficien- cies identified by the Options Study , the Commission determined on March 26 , 1980 , to terminate the moratorium ...
... firms . Upon finding that the self - regulatory organizations had responsibly ad- dressed the major regulatory deficien- cies identified by the Options Study , the Commission determined on March 26 , 1980 , to terminate the moratorium ...
Página 5
... firms back office operations , the Commission approved a series of pro- posals to enable each options exchange to list puts on any security underlying that exchange's call option classes.21 In view of the continuing restriction on ...
... firms back office operations , the Commission approved a series of pro- posals to enable each options exchange to list puts on any security underlying that exchange's call option classes.21 In view of the continuing restriction on ...
Página 9
... firms which did a large portion of their total business with insti- tutions have merged with more diversi- fied firms or have gone out of business and a new industry segment , discount broker - dealers , has appeared . On the whole ...
... firms which did a large portion of their total business with insti- tutions have merged with more diversi- fied firms or have gone out of business and a new industry segment , discount broker - dealers , has appeared . On the whole ...
Página 10
... firms . Broker - Dealer Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X - 17A - 5 , the Financial and Op- erational Combined Uniform Single ( FOCUS ) Report , under the Exchange Act ...
... firms . Broker - Dealer Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X - 17A - 5 , the Financial and Op- erational Combined Uniform Single ( FOCUS ) Report , under the Exchange Act ...
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