Securities (121 - 130 of 328 items)
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.
SEC: Offshore Offers and Sales
OGC-98-33: Published: Mar 11, 1998. Publicly Released: Mar 11, 1998.
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.
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.