Annual Report of the SEC.U.S. Government Printing Office |
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Página v
... staff review , with issuers reminded that adequate disclosure remains their responsibility . At the same time as we were engaged in implementing the integrated disclosure program , and the organizational and administrative changes ...
... staff review , with issuers reminded that adequate disclosure remains their responsibility . At the same time as we were engaged in implementing the integrated disclosure program , and the organizational and administrative changes ...
Página vi
... Staff Report on Corporate Accountability , the product of a three- year study of mechanisms of corporate accountability , shareholder communication , and corporate governance generally . In view of the significant progress being made ...
... Staff Report on Corporate Accountability , the product of a three- year study of mechanisms of corporate accountability , shareholder communication , and corporate governance generally . In view of the significant progress being made ...
Página x
... staff in the business decisions of investment companies . The objective has been to reduce the costs and burdens of regulation , while at the same time enhancing the authority and responsibility of investment company directors ...
... staff in the business decisions of investment companies . The objective has been to reduce the costs and burdens of regulation , while at the same time enhancing the authority and responsibility of investment company directors ...
Página xii
... Staff Time and Activity Tracking System , have improved our ability to utilize effectively our limited resources and to enhance the professionalism with which the Agency is managed . As the Commission approaches the completion of its ...
... Staff Time and Activity Tracking System , have improved our ability to utilize effectively our limited resources and to enhance the professionalism with which the Agency is managed . As the Commission approaches the completion of its ...
Página 7
... Staff Officers Benjamin Milk , Executive Director George G. Kundahl , Deputy Executive Director Edward F. Greene , Director , Division of Corporation Finance Lee B. Spencer , Deputy Director William C. Wood , Associate Director Mary ...
... Staff Officers Benjamin Milk , Executive Director George G. Kundahl , Deputy Executive Director Edward F. Greene , Director , Division of Corporation Finance Lee B. Spencer , Deputy Director William C. Wood , Associate Director Mary ...
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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