Annual Report of the SEC.U.S. Government Printing Office |
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Página 11
... approximately 280,000 certificates val- ued at approximately $ 1.3 billion . As of December 31 , 1979 , the aggregate net value of the data base since the incep- tion of the program was approximately $ 2.6 billion . 9.
... approximately 280,000 certificates val- ued at approximately $ 1.3 billion . As of December 31 , 1979 , the aggregate net value of the data base since the incep- tion of the program was approximately $ 2.6 billion . 9.
Página 12
... tion of many of the provisions of these rules . Securities Investor Protection Cor- poration - The Securities Investor Pro- tection Act of 1970 ( SIPA ) 32 provides certain protections to customers of bro- kers and dealers that fail to ...
... tion of many of the provisions of these rules . Securities Investor Protection Cor- poration - The Securities Investor Pro- tection Act of 1970 ( SIPA ) 32 provides certain protections to customers of bro- kers and dealers that fail to ...
Página 12
... tion 17 ( d ) ( 1 ) of the Exchange Act and Rule 17d - 2 thereunder , for the alloca- tion of regulatory responsibility among the NASD and four stock ex- changes - the BSE , the CSE , the MSE , and the PSE.48 Pursuant to these plans ...
... tion 17 ( d ) ( 1 ) of the Exchange Act and Rule 17d - 2 thereunder , for the alloca- tion of regulatory responsibility among the NASD and four stock ex- changes - the BSE , the CSE , the MSE , and the PSE.48 Pursuant to these plans ...
Página 13
... tion.51 Finally , the Commission approved amendments to the MSRB's arbitration code which established a simplified procedure for the resolution of intra- industry disputes involving $ 5000 or less . Such disputes can now be settled by a ...
... tion.51 Finally , the Commission approved amendments to the MSRB's arbitration code which established a simplified procedure for the resolution of intra- industry disputes involving $ 5000 or less . Such disputes can now be settled by a ...
Página 16
... tion of these problems , the PSE under- took a complete overhaul of its surveil- lance program for equity trading and developed automated systems to re- place ineffective manual procedures . The Commission also brought ad- ministrative ...
... tion of these problems , the PSE under- took a complete overhaul of its surveil- lance program for equity trading and developed automated systems to re- place ineffective manual procedures . The Commission also brought ad- ministrative ...
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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