Annual Report of the SEC.U.S. Government Printing Office |
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Página vii
... participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear that , given the continuing good faith cooperation of the industry , we stand on the threshold of ...
... participating in ITS to develop a joint plan for the protection of public limit orders . With the advances of fiscal 1980 , it is clear that , given the continuing good faith cooperation of the industry , we stand on the threshold of ...
Página xi
... participate , as amicus curiae , in legal proceedings between private parties that could have a significant impact on the interpretation of the Federal securities laws . This effort has been increasingly important given the adverse ...
... participate , as amicus curiae , in legal proceedings between private parties that could have a significant impact on the interpretation of the Federal securities laws . This effort has been increasingly important given the adverse ...
Página 2
... participants to implement their commit- 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 ...
... participants to implement their commit- 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 ...
Página 3
... participants did not commit themselves to the imple- mentation of an automated linkage be- tween the ITS and the ... participants the same fees regardless of whether the participants deal with the clearing agency at its main facility or ...
... participants did not commit themselves to the imple- mentation of an automated linkage be- tween the ITS and the ... participants the same fees regardless of whether the participants deal with the clearing agency at its main facility or ...
Página 4
... participants . In addition , the national system was furthered by the approval of a rule change which estab- lished procedures whereby book - entry transfers within New England Securities Depository Trust Company may be used for ...
... participants . In addition , the national system was furthered by the approval of a rule change which estab- lished procedures whereby book - entry transfers within New England Securities Depository Trust Company may be used for ...
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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