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Securities (121 - 130 of 324 items)

Securities Regulation:

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45:
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.

SEC:

Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20:
Published: Dec 18, 1997. Publicly Released: Dec 18, 1997.

OTC Derivatives:

Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5:
Published: Oct 2, 1997. Publicly Released: Oct 9, 1997.

SEC:

Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
OGC-97-57:
Published: Aug 20, 1997. Publicly Released: Aug 20, 1997.

Justice and Law Enforcement:

Banking and Commerce
OCE-97-3R:
Published: Jun 10, 1997. Publicly Released: Jun 10, 1997.

Securities and Exchange Commission:

Rules Implementing Amendments to the Investment Advisers Act of 1940 (Rule 203A-2)
OGC-97-46:
Published: Jun 2, 1997. Publicly Released: Jun 2, 1997.

Financial Regulation:

Bank Modernization Legislation
T-OCE/GGD-97-103:
Published: May 7, 1997. Publicly Released: May 7, 1997.

Securities and Exchange Commission:

Privately Offered Investment Companies
OGC-97-37:
Published: Apr 24, 1997. Publicly Released: Apr 24, 1997.

Securities and Exchange Commission:

Revision of Holding Period Requirements in Rules 144 and 145
OGC-97-27:
Published: Mar 11, 1997. Publicly Released: Mar 11, 1997.

SEC: