Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... requirements of Rule 144 , are two examples . A third is the Commission's recent adoption of the Rule 19c - 3 experiment . Nor has the Commission been reluctant to reexamine long - standing views or administrative practices when such a ...
... requirements of Rule 144 , are two examples . A third is the Commission's recent adoption of the Rule 19c - 3 experiment . Nor has the Commission been reluctant to reexamine long - standing views or administrative practices when such a ...
Página iv
... requirements . Furthermore , the Form 10 - K was revised and streamlined , eliminating requirements that had led to " boilerplate " disclosure , while at the same time placing new emphasis on such useful data as cash flow and the impact ...
... requirements . Furthermore , the Form 10 - K was revised and streamlined , eliminating requirements that had led to " boilerplate " disclosure , while at the same time placing new emphasis on such useful data as cash flow and the impact ...
Página v
... requirements , should aid immeasurably in that regard . The ultimate objective - which I believe we are well on the way towards achieving — is , of course , to facilitate the Nation's capital formation process . In order to administer ...
... requirements , should aid immeasurably in that regard . The ultimate objective - which I believe we are well on the way towards achieving — is , of course , to facilitate the Nation's capital formation process . In order to administer ...
Página vi
... 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 ...
... 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 ix
... requirements of the Act . Also during the fiscal year , the Commission completed a review of the comments which it had received on its proposal to require the filing of a statement of management on the adequacy of internal accounting ...
... requirements of the Act . Also during the fiscal year , the Commission completed a review of the comments which it had received on its proposal to require the filing of a statement of management on the adequacy of internal accounting ...
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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