Annual Report of the SEC.U.S. Government Printing Office |
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Página 9
... offer invest- ors a broader spectrum of services with a correspondingly broader range of commission rates . Monitoring Commission Rules - Monitoring of Commission rules contin- ues with the annual Staff Report on the Securities Industry ...
... offer invest- ors a broader spectrum of services with a correspondingly broader range of commission rates . Monitoring Commission Rules - Monitoring of Commission rules contin- ues with the annual Staff Report on the Securities Industry ...
Página 12
... offering for research provided to customers and revise the definition of fair market price as it re- lates to the practice of swapping securi- ties in a fixed price offering . The NASD filed amendments to the proposal in September 1980 ...
... offering for research provided to customers and revise the definition of fair market price as it re- lates to the practice of swapping securi- ties in a fixed price offering . The NASD filed amendments to the proposal in September 1980 ...
Página 21
... offering or mate- rial changes since such disclosure was made . The tier system would establish how much of this information is re- quired to be set forth in the prospectus , rather than merely incorporated into it by reference , and ...
... offering or mate- rial changes since such disclosure was made . The tier system would establish how much of this information is re- quired to be set forth in the prospectus , rather than merely incorporated into it by reference , and ...
Página 24
... offered by a participant for the pro- jected distribution value . In September 1980 , the Commission issued a release 75 announcing an inter- pretation of the Divison of Corporation Finance which permits foreign govern- ments or ...
... offered by a participant for the pro- jected distribution value . In September 1980 , the Commission issued a release 75 announcing an inter- pretation of the Divison of Corporation Finance which permits foreign govern- ments or ...
Página 27
... offering circular to investors if only ac- credited persons are involved in a Rule 242 offering , based upon the presump- tion that these types of investors are able to fend for themselves . If , however , a Rule 242 offering involves ...
... offering circular to investors if only ac- credited persons are involved in a Rule 242 offering , based upon the presump- tion that these types of investors are able to fend for themselves . If , however , a Rule 242 offering involves ...
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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