Annual Report of the SEC.U.S. Government Printing Office |
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Página i
... practice , I would like to review some of the important challenges which the Commission has met , as well as some of the additional initiatives which we have undertaken , during the past year . Each of these matters should be viewed as ...
... practice , I would like to review some of the important challenges which the Commission has met , as well as some of the additional initiatives which we have undertaken , during the past year . Each of these matters should be viewed as ...
Página iii
... practices when such a course seemed indicated . For example , in reviewing its disclosure requirements , the Commission has emphasized the most useful information , even if it is so - called " soft " information such as projections ...
... practices when such a course seemed indicated . For example , in reviewing its disclosure requirements , the Commission has emphasized the most useful information , even if it is so - called " soft " information such as projections ...
Página v
... practice . A few examples should suffice : Prior to fiscal 1980 , the Commission had adopted a new , abbreviated Form S - 18 for registered offerings of up to $ 5 million . A study of the use of the streamlined Form S - 18 during the ...
... practice . A few examples should suffice : Prior to fiscal 1980 , the Commission had adopted a new , abbreviated Form S - 18 for registered offerings of up to $ 5 million . A study of the use of the streamlined Form S - 18 during the ...
Página viii
... were experiencing in complying with the accounting provisions of the Foreign Corrupt Practices Act ( FCPA ) , enacted in December , 1977. In order to provide some certainty about the Commission's views regarding the FCPA , and viii.
... were experiencing in complying with the accounting provisions of the Foreign Corrupt Practices Act ( FCPA ) , enacted in December , 1977. In order to provide some certainty about the Commission's views regarding the FCPA , and viii.
Página 12
... practiced law with the firm of O'Melveny and Myers in Los Angeles , California . Commissioner Loomis joined the Commission's staff as a consultant in 1954 , and the following year he was appointed Associate Director and then director of ...
... practiced law with the firm of O'Melveny and Myers in Los Angeles , California . Commissioner Loomis joined the Commission's staff as a consultant in 1954 , and the following year he was appointed Associate Director and then director of ...
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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