Annual Report of the SEC.U.S. Government Printing Office |
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Página vi
... reporting requirements for smaller issuers . Public comment was sought on the various questions involved , and the Commission is considering this initiative in coordination with its efforts to implement the recently - enacted Regulatory ...
... reporting requirements for smaller issuers . Public comment was sought on the various questions involved , and the Commission is considering this initiative in coordination with its efforts to implement the recently - enacted Regulatory ...
Página x
... reporting , as well as the remaining uncertainty concerning the costs and related benefits of having such information audited . Recently , after reviewing the work of the Commission's advisory committee on RRA , and consulting further ...
... reporting , as well as the remaining uncertainty concerning the costs and related benefits of having such information audited . Recently , after reviewing the work of the Commission's advisory committee on RRA , and consulting further ...
Página
... Reporting and Changing Prices 34 Reporting on Internal Accounting Control 35 Auditor Association with Required Supplemental Financial Informa- tion .... 36 Investment Companies and Advisers . Disclosure Study and Related Matters ...
... Reporting and Changing Prices 34 Reporting on Internal Accounting Control 35 Auditor Association with Required Supplemental Financial Informa- tion .... 36 Investment Companies and Advisers . Disclosure Study and Related Matters ...
Página 2
... reporting and quotation sys- tems . First , the Commission adopted an amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing ...
... reporting and quotation sys- tems . First , the Commission adopted an amendment to existing Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing ...
Página 10
... Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X - 17A - 5 , the Financial and Op- erational Combined Uniform Single ( FOCUS ) Report , under the Exchange Act , which is filed with the ...
... Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X - 17A - 5 , the Financial and Op- erational Combined Uniform Single ( FOCUS ) Report , under the Exchange Act , which is filed with the ...
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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