Information Access: Improving Securities and Exchange Commission's Public Reference Room OperationsU.S. G.A.O., 1989 - 19 pages |
From inside the book
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Page 1
... give opinions on relevant legal issues . We interviewed regular users of the reference room , employees of SEC's contractor for producing microfiche copies of filings , and SEC staff B - 231278 responsible for the operation of the ...
... give opinions on relevant legal issues . We interviewed regular users of the reference room , employees of SEC's contractor for producing microfiche copies of filings , and SEC staff B - 231278 responsible for the operation of the ...
Page 3
... give these filings the batch numbers SEC staff had been assigning to help the users later find and retrieve the ... gives our opinions . As agreed , we did not obtain written agency comments . However , we discussed our work with SEC ...
... give these filings the batch numbers SEC staff had been assigning to help the users later find and retrieve the ... gives our opinions . As agreed , we did not obtain written agency comments . However , we discussed our work with SEC ...
Page 10
... give opinions on relevant legal issues . In August 1988 , we interviewed nine regular users of the reference room who contacted us or were referred to us . The regular users related many complaints . We identified six areas that were of ...
... give opinions on relevant legal issues . In August 1988 , we interviewed nine regular users of the reference room who contacted us or were referred to us . The regular users related many complaints . We identified six areas that were of ...
Page 15
... give these filings the batch numbers SEC staff had been assigning to help the users later find and retrieve the information . Appendix IV Legal Issues The following legal issues were raised Page 15 GAO / GGD - 89-85 SEC's Public ...
... give these filings the batch numbers SEC staff had been assigning to help the users later find and retrieve the information . Appendix IV Legal Issues The following legal issues were raised Page 15 GAO / GGD - 89-85 SEC's Public ...
Page 17
... give SEC the discre- tion to provide open or closed microfiche access . And as already noted , SEC has changed its reference room policy several times over the past 10 years . 2 Although the language at 17 C.F.R. Sec . 200.80 ( a ) was ...
... give SEC the discre- tion to provide open or closed microfiche access . And as already noted , SEC has changed its reference room policy several times over the past 10 years . 2 Although the language at 17 C.F.R. Sec . 200.80 ( a ) was ...
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Common terms and phrases
Actions and Remaining agree with SEC's Appendix I Background Appendix III SEC Appendix IV Legal applicable statutes areas of concern assigned space Background and Objectives called regular users Carrel allocations certain time-sensitive Chairman's July 14 Closed microfiche files Concerns of Regular contractor for producing contractor's copies contractor's earlier access copies of corporate corporate filings received delivered copies demand for microfiche desks disclosing material financial disclosure disorderly economies to SEC Federal Register files might provide filing type filings received paper filling microfiche requests FOIA GAO Opinion Government interviewed regular users Methodology microfilm number of areas numbers SEC staff obtain materials Open access open and users open microfiche files orderly condition producing microfiche copies provide any observations public reference facilities public reference room reallocated carrels received paper copies reference room facilities regulations remaining areas Remaining Concerns room in Washington SEC reference room SEC staff processing SEC's closing SEC's contractor Subcommittee time-sensitive Williams Act filings
Popular passages
Page 16 - Subject to the provisions of section 321? the information and documents contained in or filed with any application shall be made available to the public under such regulations as the Commission may prescribe, and copies thereof, photostatic or otherwise, shall be furnished to every applicant therefor at such reasonable charge as the Commission may prescribe.
Page 2 - SBC staff to fill users' microfiche requests led to delays in obtaining these materials and more difficulty in doing research. SBC'S microfiche contractor received copies of certain time-sensitive documents before regular users received them in the reference room. This gave the contractor an unfair advantage over regular users, who compete with the contractor in selling information from these documents.