Brokerage industry (11 - 20 of 67 items)
Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R: Published: Apr 27, 2001. Publicly Released: May 8, 2001.
Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319: Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.
Securities Arbitration: Actions Needed to Address Problem of Unpaid Awards
GGD-00-115: Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.
Securities Operations: Day Trading Requires Continued Oversight
GGD-00-61: Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.
Securities and Exchange Commission: Adoption of Amendments to the Intermarket Trading System Plan to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
OGC-00-15: Published: Dec 22, 1999. Publicly Released: Dec 22, 1999.
Long-Term Capital Management: Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3: Published: Oct 29, 1999. Publicly Released: Nov 19, 1999.
Securities and Exchange Commission: Regulation of Takeovers and Security Holder Communications
OGC-00-12: Published: Nov 19, 1999. Publicly Released: Nov 19, 1999.
Securities Regulation: Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53: Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.
Securities and Exchange Commission: Regulation of Exchanges and Alternative Trading Systems
OGC-99-28: Published: Jan 6, 1999. Publicly Released: Jan 6, 1999.
SEC: Reports To Be Made by Certain Brokers and Dealers
OGC-99-16: Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.