Annual Report of the SEC.U.S. Government Printing Office |
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Página v
... industry in the same branch , the Division is developing both reservoirs of experience in particular industries , as well as continuity in its comments on the filings of a given company . In addition , the Division has also implemented ...
... industry in the same branch , the Division is developing both reservoirs of experience in particular industries , as well as continuity in its comments on the filings of a given company . In addition , the Division has also implemented ...
Página vi
... industry is a measure of the progress which the industry and the Commission have achieved during the past decade in modernizing and strengthening mechanisms for communication , execution , and processing . It is also testimony to the ...
... industry is a measure of the progress which the industry and the Commission have achieved during the past decade in modernizing and strengthening mechanisms for communication , execution , and processing . It is also testimony to the ...
Página vii
... industry initiative in that regard , the Commission issued for public comment an order which would require the linkage to be implemented , on a pilot basis , by September 30 , 1981. In doing so , the Commission expressed its preliminary ...
... industry initiative in that regard , the Commission issued for public comment an order which would require the linkage to be implemented , on a pilot basis , by September 30 , 1981. In doing so , the Commission expressed its preliminary ...
Página viii
... industry and the economy of such trading , but also the fact that , with the enhancements of recent years , there was no reason to suspect that the regulatory environments of the registered options exchanges were not adequate to ensure ...
... industry and the economy of such trading , but also the fact that , with the enhancements of recent years , there was no reason to suspect that the regulatory environments of the registered options exchanges were not adequate to ensure ...
Página x
... industry . A major regulatory reform effort during the past three years has been the Commission's project to cut back on the involvement of the Commission and its staff in the business decisions of investment companies . The objective ...
... industry . A major regulatory reform effort during the past three years has been the Commission's project to cut back on the involvement of the Commission and its staff in the business decisions of investment companies . The objective ...
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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