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Securities (111 - 120 of 325 items)

SEC:

Reports To Be Made by Certain Brokers and Dealers
OGC-99-16:
Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.

SEC:

OTC Derivatives Dealers
OGC-99-17:
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.

SEC Year 2000 Report:

Future Reports Could Provide More Detailed Information
GGD/AIMD-98-51:
Published: Mar 6, 1998. Publicly Released: Mar 17, 1998.