Reports and Testimonies - Browse by topic

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Brokerage industry (11 - 20 of 67 items)

Justice and Law Enforcement:

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Published: Apr 27, 2001. Publicly Released: May 8, 2001.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.

Securities Arbitration:

Actions Needed to Address Problem of Unpaid Awards
Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.

Securities Operations:

Day Trading Requires Continued Oversight
Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.

Securities and Exchange Commission:

Long-Term Capital Management:

Regulators Need to Focus Greater Attention on Systemic Risk
Published: Oct 29, 1999. Publicly Released: Nov 19, 1999.

Securities and Exchange Commission:

Regulation of Takeovers and Security Holder Communications
Published: Nov 19, 1999. Publicly Released: Nov 19, 1999.

Securities Regulation:

Actions Taken to Improve Nasdaq Listing Procedures
Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.

Securities and Exchange Commission:

Regulation of Exchanges and Alternative Trading Systems
Published: Jan 6, 1999. Publicly Released: Jan 6, 1999.


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