Annual Report of the SEC.U.S. Government Printing Office |
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Página x
... regulatory statutes in terms of the degree of constraint which it imposes upon an industry . A major regulatory reform effort during the past three years has been the Commission's project to cut back on the involvement of the Commission ...
... regulatory statutes in terms of the degree of constraint which it imposes upon an industry . A major regulatory reform effort during the past three years has been the Commission's project to cut back on the involvement of the Commission ...
Página xii
... regulatory reform , and they have had the intelligence , creativity , and sophistication to fashion Commission initiatives and to enforce securities regulations in the highest traditions of this unique agency . I am proud of them and ...
... regulatory reform , and they have had the intelligence , creativity , and sophistication to fashion Commission initiatives and to enforce securities regulations in the highest traditions of this unique agency . I am proud of them and ...
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... Regulation of Brokers , Dealers , Municipal Securities Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations ...
... Regulation of Brokers , Dealers , Municipal Securities Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations ...
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... Regulatory Organ- izations 1975-1979 ..... 106 Table 9 - Revenues and Expenses of Self - Regulatory Organizations 1975-1979 ...... 107 Table 10 - Uses of Self - Regulatory Organization Funds 1975-1979 Table 11 - Sources of Self ...
... Regulatory Organ- izations 1975-1979 ..... 106 Table 9 - Revenues and Expenses of Self - Regulatory Organizations 1975-1979 ...... 107 Table 10 - Uses of Self - Regulatory Organization Funds 1975-1979 Table 11 - Sources of Self ...
Página 4
... regulatory organizations and the broker - dealer community . These rec- ommendations generally called for ad- ditional self - regulatory organization rules , improvements in self - regulatory organization surveillance and compli- ance ...
... regulatory organizations and the broker - dealer community . These rec- ommendations generally called for ad- ditional self - regulatory organization rules , improvements in self - regulatory organization surveillance and compli- ance ...
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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