Annual Report of the SEC.U.S. Government Printing Office |
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Página iii
... Rule 242 , as well as its amendments relaxing the 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 ...
... Rule 242 , as well as its amendments relaxing the 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 ...
Página xi
... Rule 242 , and Rule 144 , and the programs developed to monitor such diverse areas of concern as private sector progress concerning board composition and functioning and the effects of Rule 19c - 3 , are all illustrative of the success ...
... Rule 242 , and Rule 144 , and the programs developed to monitor such diverse areas of concern as private sector progress concerning board composition and functioning and the effects of Rule 19c - 3 , are all illustrative of the success ...
Página 1
... Rule 19c - 3 , the Commission noted that the rule will provide the opportunity for competition between over - the - counter and ex- change markets . By permitting ex- change members to effect transactions in - house , the rule may also ...
... Rule 19c - 3 , the Commission noted that the rule will provide the opportunity for competition between over - the - counter and ex- change markets . By permitting ex- change members to effect transactions in - house , the rule may also ...
Página 2
... Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing prohibition on retransmission of transaction information for purposes of creating a moving ticker ...
... Rule 17a - 155 ( redesignated as Rule 11Aa3-1 ) under the Exchange Act which eliminates , subject to one condition , the pre- existing prohibition on retransmission of transaction information for purposes of creating a moving ticker ...
Página 4
... rule change proposals submitted by each of the options exchanges and the New York Stock Exchange ( NYSE ) .17 Those rules , if complied with , should provide significant additional protection for public investors . 18 The Commission ...
... rule change proposals submitted by each of the options exchanges and the New York Stock Exchange ( NYSE ) .17 Those rules , if complied with , should provide significant additional protection for public investors . 18 The Commission ...
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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