Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página viii
... operational implementation on a limited basis . MOSS should be viewed as an important part of the Commission's overall program to reassess and strengthen its SRO oversight and inspection programs . It will not in any way supplant the ...
... operational implementation on a limited basis . MOSS should be viewed as an important part of the Commission's overall program to reassess and strengthen its SRO oversight and inspection programs . It will not in any way supplant the ...
Página xii
... operations ; and programs to strengthen both communication with key constituencies and public education about the Federal securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together ...
... operations ; and programs to strengthen both communication with key constituencies and public education about the Federal securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together ...
Página
... Operations . 74 General Public Utilities Corporation / Three Mile Island 74 Acquisition of Columbus & Southern Ohio Electric Company by Ameri- can Electric Power Company . 74 Corporate Reorganizations 75 Administration and Management ...
... Operations . 74 General Public Utilities Corporation / Three Mile Island 74 Acquisition of Columbus & Southern Ohio Electric Company by Ameri- can Electric Power Company . 74 Corporate Reorganizations 75 Administration and Management ...
Página 2
... operation of the consolidated transaction reporting and quotation sys- tems . First , the Commission adopted an amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to ...
... operation of the consolidated transaction reporting and quotation sys- tems . First , the Commission adopted an amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to ...
Página 5
... operational capabilities or mem- ber firms back office operations , the Commission approved a series of pro- posals to enable each options exchange to list puts on any security underlying that exchange's call option classes.21 In view ...
... operational capabilities or mem- ber firms back office operations , the Commission approved a series of pro- posals to enable each options exchange to list puts on any security underlying that exchange's call option classes.21 In view ...
Otras ediciones - Ver todas
Términos y frases comunes
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