Annual Report of the SEC.U.S. Government Printing Office |
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Página iv
... organizations . Similarly , the number and complexity of filings by 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 ...
... organizations . Similarly , the number and complexity of filings by 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 ...
Página vii
... organizations ( SROs ) subsequently worked in concert to implement many of the recommendations of the study , making possible the end of the moratorium on March 26 , 1980. Following the Commission's action to end the options moratorium ...
... organizations ( SROs ) subsequently worked in concert to implement many of the recommendations of the study , making possible the end of the moratorium on March 26 , 1980. Following the Commission's action to end the options moratorium ...
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... Organizations Securities Investor Protection Corporation National Securities Exchanges .... National Association of Securities Dealers , Inc. Allocation of Regulatory Responsibility Municipal Securities Rulemaking Board Clearing ...
... Organizations Securities Investor Protection Corporation National Securities Exchanges .... National Association of Securities Dealers , Inc. Allocation of Regulatory Responsibility Municipal Securities Rulemaking Board Clearing ...
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... Organizations : Revenues , Expenses and Balance Sheet Structure ..... 100 101 102 103 104 Table 8 - Assets ... Organizations 1975-1979 ...... 107 Table 10 - Uses of Self - Regulatory Organization Funds 1975-1979 Table 11 - Sources of ...
... Organizations : Revenues , Expenses and Balance Sheet Structure ..... 100 101 102 103 104 Table 8 - Assets ... Organizations 1975-1979 ...... 107 Table 10 - Uses of Self - Regulatory Organization Funds 1975-1979 Table 11 - Sources of ...
Página 4
... organizations and the broker - dealer community . These rec- ommendations generally called for ad- ditional self - regulatory organization rules , improvements in self - regulatory organization surveillance and compli- ance systems and ...
... organizations and the broker - dealer community . These rec- ommendations generally called for ad- ditional self - regulatory organization rules , improvements in self - regulatory organization surveillance and compli- ance systems and ...
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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