Annual Report of the SEC.U.S. Government Printing Office |
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Página ii
... institutions which underpin our free and democratic society . Thus , the Commission has been committed to being a judicious and balanced agency - or , in other terms , an accountable regulator . It has recognized the need for private ...
... institutions which underpin our free and democratic society . Thus , the Commission has been committed to being a judicious and balanced agency - or , in other terms , an accountable regulator . It has recognized the need for private ...
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... Institutional Disclosure Program Enforcement Program . Sanctions and Remedies Insider Trading Corporate Takeovers , Tender Offers and Beneficial Ownership .. Administrative Proceedings Under Section 15 ( c ) ( 4 ) of the Securities Ex ...
... Institutional Disclosure Program Enforcement Program . Sanctions and Remedies Insider Trading Corporate Takeovers , Tender Offers and Beneficial Ownership .. Administrative Proceedings Under Section 15 ( c ) ( 4 ) of the Securities Ex ...
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... Institutions 114 Table 14 - Common Stock Transactions and Activity Rates of Se- lected Financial Institutions 115 Stockholdings of Institutional Investors and Others 116 .... Table 15 - Market Value of Stockholdings of Institutional ...
... Institutions 114 Table 14 - Common Stock Transactions and Activity Rates of Se- lected Financial Institutions 115 Stockholdings of Institutional Investors and Others 116 .... Table 15 - Market Value of Stockholdings of Institutional ...
Página 9
... Institutional orders averaged 2,513 shares in size and com- missions on these orders averaged 11.6 cents per share . Individual orders of 10,000 shares or more showed com- mission rate discounts comparable to similarly sized institutional ...
... Institutional orders averaged 2,513 shares in size and com- missions on these orders averaged 11.6 cents per share . Individual orders of 10,000 shares or more showed com- mission rate discounts comparable to similarly sized institutional ...
Página 25
... institutions voluntarily disclose the proxy voting criteria and procedures utilized when voting the stock they manage for others . If such information is not readily available and there is in- vestor interest in obtaining it , the staff ...
... institutions voluntarily disclose the proxy voting criteria and procedures utilized when voting the stock they manage for others . If such information is not readily available and there is in- vestor interest in obtaining it , the staff ...
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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