Annual Report of the SEC.U.S. Government Printing Office |
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Página vii
... options on equity securities . The moratorium , adopted voluntarily by the industry in July , 1977 at the Commission's request , provided an ... Options Exchange to trade options on Government National Mortgage Association pass- vii.
... options on equity securities . The moratorium , adopted voluntarily by the industry in July , 1977 at the Commission's request , provided an ... Options Exchange to trade options on Government National Mortgage Association pass- vii.
Página viii
... options exchanges were not adequate to ensure that such trading would be carried on in the public interest . Other options exchanges are expected to file similar applications , and the Commission expressed its tentative view in favor of ...
... options exchanges were not adequate to ensure that such trading would be carried on in the public interest . Other options exchanges are expected to file similar applications , and the Commission expressed its tentative view in favor of ...
Página
... Options Trading Study of Government Securities Markets . Issuer Repurchases ..... Effects of the Absence of Fixed Commission Rates Monitoring Commission Rules . Regulation of Brokers , Dealers , Municipal Securities Dealers and Transfer ...
... Options Trading Study of Government Securities Markets . Issuer Repurchases ..... Effects of the Absence of Fixed Commission Rates Monitoring Commission Rules . Regulation of Brokers , Dealers , Municipal Securities Dealers and Transfer ...
Página 4
... options markets , pending ( a ) completion of the Commission's Special Study of the Op- tions Markets ( Options Study ) ; ( b ) eval- uation of the Options Study's findings ; and ( c ) resolution of Commission con- cerns regarding the ...
... options markets , pending ( a ) completion of the Commission's Special Study of the Op- tions Markets ( Options Study ) ; ( b ) eval- uation of the Options Study's findings ; and ( c ) resolution of Commission con- cerns regarding the ...
Página 5
... options moratorium , each options exchange had been limited to the listing and trad- ing of five put option classes . In the March policy statement , the Commis- sion stated that it had not identified any surveillance or compliance ...
... options moratorium , each options exchange had been limited to the listing and trad- ing of five put option classes . In the March policy statement , the Commis- sion stated that it had not identified any surveillance or compliance ...
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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