Annual Report of the SEC.U.S. Government Printing Office |
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Página iv
... issuers and others had grown tremendously over the past few years . The inability of the Commission to increase staff or budget at a time of such explosive growth in the private sector , as well as in the responsibilities assigned to us ...
... issuers and others had grown tremendously over the past few years . The inability of the Commission to increase staff or budget at a time of such explosive growth in the private sector , as well as in the responsibilities assigned to us ...
Página v
... issuers . During the past four years , the Commission has eased registration and disclosure burdens on such issuers to the greatest extent consistent with investor protection and sound administrative practice . A few examples should ...
... issuers . During the past four years , the Commission has eased registration and disclosure burdens on such issuers to the greatest extent consistent with investor protection and sound administrative practice . A few examples should ...
Página vi
... issuers by size in order to make possible modified reporting requirements for smaller issuers . Public comment was sought on the various questions involved , and the Commission is considering this initiative in coordination with its ...
... issuers by size in order to make possible modified reporting requirements for smaller issuers . Public comment was sought on the various questions involved , and the Commission is considering this initiative in coordination with its ...
Página ix
... issuers in their good faith exercise of business judgment in designing , implementing , and maintaining accounting systems to meet the requirements of the Act . Also during the fiscal year , the Commission completed a review of the ...
... issuers in their good faith exercise of business judgment in designing , implementing , and maintaining accounting systems to meet the requirements of the Act . Also during the fiscal year , the Commission completed a review of the ...
Página
... Issuers 1935-1980 .... 135 Regulation A Offerings ... 136 Table 31 - Offerings under Regulation A. 136 Enforcement 136 Types of Proceedings ... 136 Table 32 - Types of Proceedings 137 Table 33 - Investigations of Possible Violations of ...
... Issuers 1935-1980 .... 135 Regulation A Offerings ... 136 Table 31 - Offerings under Regulation A. 136 Enforcement 136 Types of Proceedings ... 136 Table 32 - Types of Proceedings 137 Table 33 - Investigations of Possible Violations of ...
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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