Annual Report of the SEC.U.S. Government Printing Office |
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Página vi
... listed securities . In adopting Rule 19c - 3 last June , the Commission hoped to foster , among other things , a valuable experiment in competition between exchange and over - the - counter market makers . In order to be in a position ...
... listed securities . In adopting Rule 19c - 3 last June , the Commission hoped to foster , among other things , a valuable experiment in competition between exchange and over - the - counter market makers . In order to be in a position ...
Página vii
... listed options on equity securities . The moratorium , adopted voluntarily by the industry in July , 1977 at the Commission's request , provided an opportunity for the Commission's staff to complete the most comprehensive study ever ...
... listed options on equity securities . The moratorium , adopted voluntarily by the industry in July , 1977 at the Commission's request , provided an opportunity for the Commission's staff to complete the most comprehensive study ever ...
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... Listed on Exchanges ... 127 128 Table 25 - Securities Listed on Exchanges - December 31 , 1979 . Table 26 - Value of Stocks Listed on Exchanges 128 129 Securities on Exchanges ..... 130 Table 27 - Securities Traded on Exchanges 130 ...
... Listed on Exchanges ... 127 128 Table 25 - Securities Listed on Exchanges - December 31 , 1979 . Table 26 - Value of Stocks Listed on Exchanges 128 129 Securities on Exchanges ..... 130 Table 27 - Securities Traded on Exchanges 130 ...
Página 1
... listed after April 26 , 1979 , including those securities which had been listed previously , but failed to re- main so . In its release adopting Rule 19c - 3 , the Commission noted that the rule will provide the opportunity for ...
... listed after April 26 , 1979 , including those securities which had been listed previously , but failed to re- main so . In its release adopting Rule 19c - 3 , the Commission noted that the rule will provide the opportunity for ...
Página 5
... listing of additional put and call options classes , the expansion of multiple trading and the filing of ex- pansionary rule proposals ( March policy statement ) . 19 As a result of the options moratorium , each options exchange had ...
... listing of additional put and call options classes , the expansion of multiple trading and the filing of ex- pansionary rule proposals ( March policy statement ) . 19 As a result of the options moratorium , each options exchange had ...
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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