Annual Report of the SEC.U.S. Government Printing Office |
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Página v
United States. Securities and Exchange Commission. The results of this major integration initiative will be to reduce costs ... result of rapidly fluctuating interest rates - it is extremely important that the regulatory scheme allow an ...
United States. Securities and Exchange Commission. The results of this major integration initiative will be to reduce costs ... result of rapidly fluctuating interest rates - it is extremely important that the regulatory scheme allow an ...
Página viii
... result of a Federal District Court decision in the case known as Papilsky v . Berndt . The questions raised by this case - which many felt endangered the continued viability of the fixed - price system for underwriting new issues of ...
... result of a Federal District Court decision in the case known as Papilsky v . Berndt . The questions raised by this case - which many felt endangered the continued viability of the fixed - price system for underwriting new issues of ...
Página x
... result from this Study was withdrawal of the policy that had resulted in detailed Commission staff review and clearance of investment company advertisements . In addition , during fiscal 1980 , the Commission adopted several rules which ...
... result from this Study was withdrawal of the policy that had resulted in detailed Commission staff review and clearance of investment company advertisements . In addition , during fiscal 1980 , the Commission adopted several rules which ...
Página 1
... result in cost savings for brokers , dealers and in- vestors . Furthermore , by limiting ex- pansion of off - board trading re- strictions , the rule will maintain the status quo pending resolution of the broader issues associated with ...
... result in cost savings for brokers , dealers and in- vestors . Furthermore , by limiting ex- pansion of off - board trading re- strictions , the rule will maintain the status quo pending resolution of the broader issues associated with ...
Página 5
... result of the options moratorium , each options exchange had been limited to the listing and trad- ing of five put option classes . In the March policy statement , the Commis- sion stated that it had not identified any surveillance or ...
... result of the options moratorium , each options exchange had been limited to the listing and trad- ing of five put option classes . In the March policy statement , the Commis- sion stated that it had not identified any surveillance or ...
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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