Annual Report of the SEC.U.S. Government Printing Office |
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Página iv
... increase staff or budget at a time of such explosive growth in the private sector , as well as in the responsibilities assigned to us by the Congress , made it essential that we reassess how well we were discharging our responsibilities ...
... increase staff or budget at a time of such explosive growth in the private sector , as well as in the responsibilities assigned to us by the Congress , made it essential that we reassess how well we were discharging our responsibilities ...
Página vi
... increases in volume . The orderly and generally very satisfactory manner in which these demands were accommodated by ... increase market maker competition in exchange - traded securities by prohibiting application of exchange off - board ...
... increases in volume . The orderly and generally very satisfactory manner in which these demands were accommodated by ... increase market maker competition in exchange - traded securities by prohibiting application of exchange off - board ...
Página vii
... increase competition and efficiency in the Nation's securities markets , as well as enhance the ability of brokers to achieve the best possible execution of their customers ' orders . In the final analysis , however , progress towards a ...
... increase competition and efficiency in the Nation's securities markets , as well as enhance the ability of brokers to achieve the best possible execution of their customers ' orders . In the final analysis , however , progress towards a ...
Página 1
... increase competition in ex- change - traded securities . On June 11 , 1980 , the Commission adopted Rule 19c - 3 under the Securi- ties Exchange Act of 1934 ( Exchange Act ) . The rule precludes the applica- tion of off - board trading ...
... increase competition in ex- change - traded securities . On June 11 , 1980 , the Commission adopted Rule 19c - 3 under the Securi- ties Exchange Act of 1934 ( Exchange Act ) . The rule precludes the applica- tion of off - board trading ...
Página 3
... increase standardization in the processing of transactions in municipal securities ; and ( c ) provide the settlement and fi- nancial benefits that accrue from the netting of transactions in the same se- curity . Progress toward a ...
... increase standardization in the processing of transactions in municipal securities ; and ( c ) provide the settlement and fi- nancial benefits that accrue from the netting of transactions in the same se- curity . Progress toward a ...
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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