Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 6-10 de 79
Página
... Association of Securities Dealers , Inc. Allocation of Regulatory Responsibility Municipal Securities Rulemaking Board Clearing Agencies ..... Procedures for Filing Proposed Rule Changes Inspections and Surveillance Market Oversight ...
... Association of Securities Dealers , Inc. Allocation of Regulatory Responsibility Municipal Securities Rulemaking Board Clearing Agencies ..... Procedures for Filing Proposed Rule Changes Inspections and Surveillance Market Oversight ...
Página
... Association with Required Supplemental Financial Informa- tion .... 36 Investment Companies and Advisers . Disclosure Study and Related Matters Investment Company Act Study .. ... Legislation Relating to Venture Capital Significant ...
... Association with Required Supplemental Financial Informa- tion .... 36 Investment Companies and Advisers . Disclosure Study and Related Matters Investment Company Act Study .. ... Legislation Relating to Venture Capital Significant ...
Página 2
... Association of Securities Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ system , which was recently enhanced to provide the capability for automated ex- ecution against ...
... Association of Securities Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ system , which was recently enhanced to provide the capability for automated ex- ecution against ...
Página 10
... association . Form U - 4 is also accepted as a uniform appli- cation form for associated persons by 46 states , all of the national securities exchanges and the NASD . During fiscal 1980 , the Commission proposed for adoption extensive ...
... association . Form U - 4 is also accepted as a uniform appli- cation form for associated persons by 46 states , all of the national securities exchanges and the NASD . During fiscal 1980 , the Commission proposed for adoption extensive ...
Página 11
... Association of Securities Dealers , Inc. - The NASD is the only national securities association regis- tered with the Commission . At the close of the fiscal year , 2,888 brokers and dealers were NASD members . During the last nine ...
... Association of Securities Dealers , Inc. - The NASD is the only national securities association regis- tered with the Commission . At the close of the fiscal year , 2,888 brokers and dealers were NASD members . During the last nine ...
Otras ediciones - Ver todas
Términos y frases comunes
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