Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página ii
... regulatory contexts . The past year has been characterized by a continuation of these same kinds of efforts . Thanks to the unique disclosure and self - regulatory framework established by the Federal securities laws , the Commission's ...
... regulatory contexts . The past year has been characterized by a continuation of these same kinds of efforts . Thanks to the unique disclosure and self - regulatory framework established by the Federal securities laws , the Commission's ...
Página iii
... regulatory balance , the Commission has been dedicated to improving those of its traditional core activities — such as its inspection , market surveillance , and enforcement programs - which are central to ensuring honest and healthy ...
... regulatory balance , the Commission has been dedicated to improving those of its traditional core activities — such as its inspection , market surveillance , and enforcement programs - which are central to ensuring honest and healthy ...
Página vi
... Regulatory Flexibility Act . In a related matter , the Commission actively participated , during the fiscal year , in the development of The Small Business Investment Incentive Act of 1980. Signed into law on October 21 , 1980 , the Act ...
... Regulatory Flexibility Act . In a related matter , the Commission actively participated , during the fiscal year , in the development of The Small Business Investment Incentive Act of 1980. Signed into law on October 21 , 1980 , the Act ...
Página vii
... regulatory measure to require the implementation of an automated linkage between the Intermarket Trading System ( ITS ) and the National Association of Securities Dealers ' ( NASD ) Automated Quotation System , in the event that such a ...
... regulatory measure to require the implementation of an automated linkage between the Intermarket Trading System ( ITS ) and the National Association of Securities Dealers ' ( NASD ) Automated Quotation System , in the event that such a ...
Página viii
... regulatory environments of the registered options exchanges were not adequate to ensure that such trading would be ... regulatory system to continue functioning effectively . Finally , just after the close of the fiscal year , the ...
... regulatory environments of the registered options exchanges were not adequate to ensure that such trading would be ... regulatory system to continue functioning effectively . Finally , just after the close of the fiscal year , the ...
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