Securities (111 - 120 of 327 items)
Securities and Exchange Commission: Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
OGC-99-29: Published: Jan 5, 1999. Publicly Released: Jan 5, 1999.
SEC: OTC Derivatives Dealers
OGC-99-17: Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.
SEC: Reports To Be Made by Certain Brokers and Dealers
OGC-99-16: Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.
Money Penalties: Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8: Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.
High-Loan-to-Value Lending: Information on Loans Exceeding Home Value
GGD-98-169: Published: Aug 13, 1998. Publicly Released: Sep 14, 1998.
Securities Market Operations: The Effects of SOES on the Nasdaq Market
GGD-98-194: Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.
SEC: Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65: Published: Aug 5, 1998. Publicly Released: Aug 5, 1998.
Financial Services Institutions: Information for Assessing the Government's Potential Financial Exposure
GGD-98-125: Published: Jun 15, 1998. Publicly Released: Jul 15, 1998.
Securities Pricing: Actions Needed for Conversion to Decimals
T-GGD-98-121: Published: May 8, 1998. Publicly Released: May 8, 1998.
Government-Sponsored Enterprises: Federal Oversight Needed for Nonmortgage Investments
GGD-98-48: Published: Mar 11, 1998. Publicly Released: Mar 25, 1998.