Annual Report of the SEC.U.S. Government Printing Office |
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Página 14
... Form 19b - 4A establishing procedures for self- regulatory organizations to file pro- posed rule changes and designating the types of proposed rule changes that may become effective upon filing . In May 1979 , the Commission proposed a ...
... Form 19b - 4A establishing procedures for self- regulatory organizations to file pro- posed rule changes and designating the types of proposed rule changes that may become effective upon filing . In May 1979 , the Commission proposed a ...
Página 19
... Form 10 - K , and those informal shareholder com- munications produced outside the sys- tem of formal Commission filings , such as annual reports to security holders . The Commission is also further integrating the disclosure systems un ...
... Form 10 - K , and those informal shareholder com- munications produced outside the sys- tem of formal Commission filings , such as annual reports to security holders . The Commission is also further integrating the disclosure systems un ...
Página 20
... Form 10 - K , the annual report form required to be filed by most publicly owned companies ; Regulation S - K , a reposito- ry of standard disclosure instructions covering both the Securities Act and the Exchange Act ; and Exchange Act ...
... Form 10 - K , the annual report form required to be filed by most publicly owned companies ; Regulation S - K , a reposito- ry of standard disclosure instructions covering both the Securities Act and the Exchange Act ; and Exchange Act ...
Página 21
... Forms -Another Commission action involved the adoption of new Form S - 15 and re- lated rule amendments.63 This form demonstrates , on a limited scale , how the integrated disclosure system oper- ates in the Securities Act context . The new ...
... Forms -Another Commission action involved the adoption of new Form S - 15 and re- lated rule amendments.63 This form demonstrates , on a limited scale , how the integrated disclosure system oper- ates in the Securities Act context . The new ...
Página 22
... Form S - 8 , the form for registration of securities to be offered to employees pursuant to certain plans.66 Comments were solicited on two gener- al topics : ( 1 ) proposed procedures whereby filings on Form S - 8 would be- come ...
... Form S - 8 , the form for registration of securities to be offered to employees pursuant to certain plans.66 Comments were solicited on two gener- al topics : ( 1 ) proposed procedures whereby filings on Form S - 8 would be- come ...
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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