Annual Report of the SEC.U.S. Government Printing Office |
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Página ii
United States. Securities and Exchange Commission. securities regulation which the Commission and the private sector ... laws , the Commission's relationship with the private sector has traditionally been more one of oversight than ...
United States. Securities and Exchange Commission. securities regulation which the Commission and the private sector ... laws , the Commission's relationship with the private sector has traditionally been more one of oversight than ...
Página iii
... securities laws is , after all , to ensure the confident , efficient , and fair securities markets that foster the capital formation process which underpins our prosperity and our democracy . In this light , while the Federal securities ...
... securities laws is , after all , to ensure the confident , efficient , and fair securities markets that foster the capital formation process which underpins our prosperity and our democracy . In this light , while the Federal securities ...
Página xi
... securities markets , such as insider trading . Similarly , in an area of increasing importance to investor protection and the orderly development of the law , the Commission's Office of the General Counsel has strengthened the ...
... securities markets , such as insider trading . Similarly , in an area of increasing importance to investor protection and the orderly development of the law , the Commission's Office of the General Counsel has strengthened the ...
Página xii
... securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together ... securities regulations in the highest traditions of this unique agency . I am proud of them and honored to have been ...
... securities laws have helped facilitate accomplishment of the Commission's mission . These initiatives , together ... securities regulations in the highest traditions of this unique agency . I am proud of them and honored to have been ...
Página 14
... securities regulation and cor- poration finance at Columbia Law School . From 1974 to 1979 he served in the Treasury Department as Deputy Assistant Secretary for Capital Markets Policy . Mr. Friedman is the author of a number of ...
... securities regulation and cor- poration finance at Columbia Law School . From 1974 to 1979 he served in the Treasury Department as Deputy Assistant Secretary for Capital Markets Policy . Mr. Friedman is the author of a number of ...
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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