Annual Report of the SEC.U.S. Government Printing Office |
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Página 12
United States. Securities and Exchange Commission. tion of the program was approximately $ 2.6 billion . 31 Transfer Agents - On September 2 , 1980 , the Commission published a comprehensive release 31 that sets forth staff ...
United States. Securities and Exchange Commission. tion of the program was approximately $ 2.6 billion . 31 Transfer Agents - On September 2 , 1980 , the Commission published a comprehensive release 31 that sets forth staff ...
Página 42
... United States investment companies , to register and sell its shares in the United States . Union- Investment advises and administers five separate funds , including Unifonds , and is one of the oldest management com- panies in West ...
... United States investment companies , to register and sell its shares in the United States . Union- Investment advises and administers five separate funds , including Unifonds , and is one of the oldest management com- panies in West ...
Página 46
United States. Securities and Exchange Commission. ting or denying the factual allegations contained in the Commission's com- plaint or order for proceedings . Thus , unless otherwise noted , in the dis- cussion of the illustrative cases ...
United States. Securities and Exchange Commission. ting or denying the factual allegations contained in the Commission's com- plaint or order for proceedings . Thus , unless otherwise noted , in the dis- cussion of the illustrative cases ...
Página 50
United States. Securities and Exchange Commission. instituted proceedings , pursuant to Sec- tion 15 ( c ) ( 4 ) of the Exchange Act , with respect to Occidental Petroleum Corp. ( Oxy ) , a California corporation , to deter- mine whether ...
United States. Securities and Exchange Commission. instituted proceedings , pursuant to Sec- tion 15 ( c ) ( 4 ) of the Exchange Act , with respect to Occidental Petroleum Corp. ( Oxy ) , a California corporation , to deter- mine whether ...
Página 51
United States. Securities and Exchange Commission. sion and to comply with its undertak- ings . Questionable Payments The Foreign Corrupt Practices Act of 1977 [ Sections 13 ( b ) ( 2 ) , 30A and 32 ( c ) of the Exchange Act ] was signed ...
United States. Securities and Exchange Commission. sion and to comply with its undertak- ings . Questionable Payments The Foreign Corrupt Practices Act of 1977 [ Sections 13 ( b ) ( 2 ) , 30A and 32 ( c ) of the Exchange Act ] was signed ...
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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