Annual Report of the SEC.U.S. Government Printing Office |
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Página vi
... fiscal year . Also during fiscal 1980 , the Commission announced that it was considering the advisability of defining classes of securities issuers by size in order to make possible modified reporting requirements for smaller issuers ...
... fiscal year . Also during fiscal 1980 , the Commission announced that it was considering the advisability of defining classes of securities issuers by size in order to make possible modified reporting requirements for smaller issuers ...
Página vii
... fiscal year ; and the commitment of the exchanges participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear that , given the continuing good faith cooperation ...
... fiscal year ; and the commitment of the exchanges participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear that , given the continuing good faith cooperation ...
Página viii
... fiscal 1980 towards implementation of the Commission's Market Oversight and Surveillance System ( MOSS ) . That System will enable the Commission to oversee appropriately the securities industry SROs in today's complex , increasingly ...
... fiscal 1980 towards implementation of the Commission's Market Oversight and Surveillance System ( MOSS ) . That System will enable the Commission to oversee appropriately the securities industry SROs in today's complex , increasingly ...
Página x
... fiscal 1980 , the Commission adopted several rules which permit , under certain circumstances , previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of the fiscal year ...
... fiscal 1980 , the Commission adopted several rules which permit , under certain circumstances , previously - prohibited transactions between an investment company and its affiliated persons . Shortly after the close of the fiscal year ...
Página xi
... fiscal year , the Commission adopted Rule 465 under the Securities Act , permitting amendments to the registration statements of open - end investment companies to become effective without any action on the part of the Commission or its ...
... fiscal year , the Commission adopted Rule 465 under the Securities Act , permitting amendments to the registration statements of open - end investment companies to become effective without any action on the part of the Commission or its ...
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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