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Securities (111 - 120 of 324 items)

SEC

OTC Derivatives Dealers
OGC-99-17, Nov 18, 1998

Money Penalties

Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8, Nov 2, 1998

High-Loan-to-Value Lending

Information on Loans Exceeding Home Value
GGD-98-169, Aug 13, 1998

Securities Market Operations

The Effects of SOES on the Nasdaq Market
GGD-98-194, Aug 31, 1998

SEC

Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65, Aug 5, 1998

Financial Services Institutions

Information for Assessing the Government's Potential Financial Exposure
GGD-98-125, Jun 15, 1998

Securities Pricing

Actions Needed for Conversion to Decimals
T-GGD-98-121, May 8, 1998

Government-Sponsored Enterprises

Federal Oversight Needed for Nonmortgage Investments
GGD-98-48, Mar 11, 1998

SEC Year 2000 Report

Future Reports Could Provide More Detailed Information
GGD/AIMD-98-51, Mar 6, 1998

SEC

Offshore Offers and Sales
OGC-98-33, Mar 11, 1998
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