Annual Report of the SEC.U.S. Government Printing Office |
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Página 11
... Commission for Economic Develop- ment and of the California Citizens Commission on Tort Reform , and a member of the SEC Advisory Committee on Corporate Disclosure . Philip A. Loomis , Jr. Commissioner Loomis was born in.
... Commission for Economic Develop- ment and of the California Citizens Commission on Tort Reform , and a member of the SEC Advisory Committee on Corporate Disclosure . Philip A. Loomis , Jr. Commissioner Loomis was born in.
Página 2
... ment to develop a joint plan for protec- tion of public limit orders . At the end of the fiscal year , the Commission was anticipating the receipt of an amend- ment to the ITS plan that would provide for the implementation and operation ...
... ment to develop a joint plan for protec- tion of public limit orders . At the end of the fiscal year , the Commission was anticipating the receipt of an amend- ment to the ITS plan that would provide for the implementation and operation ...
Página 3
... ment of a national system for clearance and settlement of securities transac- tions . The staff continued its review of the two issues remanded by the United States Court of Appeals for the District of Columbia Circuit in Bradford Na ...
... ment of a national system for clearance and settlement of securities transac- tions . The staff continued its review of the two issues remanded by the United States Court of Appeals for the District of Columbia Circuit in Bradford Na ...
Página 4
... ment of a central customer complaint file and the disclosure of commission information on customer account state- ments , the Commission indicated that it intended to initiate formal rule - making proceedings to determine whether ...
... ment of a central customer complaint file and the disclosure of commission information on customer account state- ments , the Commission indicated that it intended to initiate formal rule - making proceedings to determine whether ...
Página 13
... ment that sets forth the basis of com- pensation to the municipal securities broker or dealer . In addition , the Commission ap- proved substantial changes in the MSRB's rules pertaining to customer and interdealer confirmations.50 The ...
... ment that sets forth the basis of com- pensation to the municipal securities broker or dealer . In addition , the Commission ap- proved substantial changes in the MSRB's rules pertaining to customer and interdealer confirmations.50 The ...
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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