SEC Oversight and Technical Amendments: Hearing Before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, Second Session, on H.R. 4574 ... February 23, 1984, Volume 4
U.S. Government Printing Office, 1984 - Securities - 373 pages
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accounting action additional adopted agencies amended by striking audit banks basis broker broker-dealers capital CFTC comfort letter Commission's Committee Common Stock Company Act Company's concerns corporation counsel court debt Dingell directors documents due diligence effective enforcement equity Exchange Commission exemptions FASB filing financial statements fiscal l983 Form S-3 funds incorporated by reference index options industry inserting in lieu insider trading institutions integrated disclosure system Investment Company investor protection involved issue issuers John S.R. Shad Leland liability lieu thereof limited ment million officers Options Clearing Corporation paragraph participation Pay N Pak person proposed amendment prospectus registration statement regulation regulatory Release reports requirements responsibility Rule 4l5 SEC's Section Securities Act Securities and Exchange Securities Exchange Act shareholders shelf registration small business staff Subcommittee surveillance tion transactions Treadway underwriters violations Wirth work-product doctrine York Stock Exchange