Annual Report of the SEC.U.S. Government Printing Office |
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Página 8
... result of an inquiry from Senator Harrison A. Williams , the Com- mission staff , together with staff mem- bers of ... results of its commission rate survey in the context of a comprehensive analysis of the basic economic dynamics of the ...
... result of an inquiry from Senator Harrison A. Williams , the Com- mission staff , together with staff mem- bers of ... results of its commission rate survey in the context of a comprehensive analysis of the basic economic dynamics of the ...
Página 9
... results of a sur- vey measuring the impact on broker- dealers of Section 11 ( a ) of the 1934 Act , which makes it unlawful for a member of a national securities ex- change to effect certain transactions , and of the temporary rules ...
... results of a sur- vey measuring the impact on broker- dealers of Section 11 ( a ) of the 1934 Act , which makes it unlawful for a member of a national securities ex- change to effect certain transactions , and of the temporary rules ...
Página 10
... result of a reorganization within the Di- vision of Market Regulation in January 1980 , the Branch of Broker - Dealer Ex- aminations was established in the Of- fice of Inspections , Examinations and Surveillance . The branch has primary ...
... result of a reorganization within the Di- vision of Market Regulation in January 1980 , the Branch of Broker - Dealer Ex- aminations was established in the Of- fice of Inspections , Examinations and Surveillance . The branch has primary ...
Página 12
... result of the allocation plans , a dual member which had previously been ex- amined on a routine basis by the NASD and one of the participating exchanges would be subject to an examination by only the NASD . The adoption of the plans ...
... result of the allocation plans , a dual member which had previously been ex- amined on a routine basis by the NASD and one of the participating exchanges would be subject to an examination by only the NASD . The adoption of the plans ...
Página 15
... result , the Commission requested that the exchange undertake a complete re- view of market maker account relation- ships on the CBOE floor and that it evaluate whether all CBOE market makers were actually performing in a manner ...
... result , the Commission requested that the exchange undertake a complete re- view of market maker account relation- ships on the CBOE floor and that it evaluate whether all CBOE market makers were actually performing in a manner ...
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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