Annual Report of the SEC.U.S. Government Printing Office |
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Página 13
... Clearing Agencies - During the fis- cal year , the Commission announced the publication of standards that the Di- vision of Market Regulation will use in reviewing clearing agency registration applications.54 The standards represent the ...
... Clearing Agencies - During the fis- cal year , the Commission announced the publication of standards that the Di- vision of Market Regulation will use in reviewing clearing agency registration applications.54 The standards represent the ...
Página 14
... Clearing Corporation of Philadelphia , Philadelphia Depository Trust Company and Pacific Clearing Corporation . The staff also conducted a joint inspection of Pacific Depository Trust Company ( PSDTC ) with the Board of Governors of the ...
... Clearing Corporation of Philadelphia , Philadelphia Depository Trust Company and Pacific Clearing Corporation . The staff also conducted a joint inspection of Pacific Depository Trust Company ( PSDTC ) with the Board of Governors of the ...
Página 17
... clearing data for listed securities , as well as NASDAQ quotes , the pilot analysis components did not include regional trading and clearing information or NASDAQ transactions . During its first nine months of opera- tion , the pilot ...
... clearing data for listed securities , as well as NASDAQ quotes , the pilot analysis components did not include regional trading and clearing information or NASDAQ transactions . During its first nine months of opera- tion , the pilot ...
Página 61
... Clearing Corpora- tion Inc. ( Clearing Corporation ) , a wholly - owned subsidiary and member of the BSE , and which is registered with the Commission . In its order , the Commission found that the BSE without reasonable justifi- cation ...
... Clearing Corpora- tion Inc. ( Clearing Corporation ) , a wholly - owned subsidiary and member of the BSE , and which is registered with the Commission . In its order , the Commission found that the BSE without reasonable justifi- cation ...
Página 62
... Clearing Corporation extended credit to specialists in violation of Section 7 ( c ) ( 1 ) of the Exchange Act and Federal Reserve Board Regulation T. The Commission censured the BSE and the Clearing Corporation and or- dered the BSE to ...
... Clearing Corporation extended credit to specialists in violation of Section 7 ( c ) ( 1 ) of the Exchange Act and Federal Reserve Board Regulation T. The Commission censured the BSE and the Clearing Corporation and or- dered the BSE to ...
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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