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Brokerage industry (11 - 20 of 66 items)

Securities Pricing

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319, Sep 20, 2000

Securities Arbitration

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115, Jun 15, 2000

Securities Operations

Day Trading Requires Continued Oversight
GGD-00-61, 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, Dec 22, 1999

Long-Term Capital Management

Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3, Oct 29, 1999

Securities and Exchange Commission

Regulation of Takeovers and Security Holder Communications
OGC-00-12, Nov 19, 1999

Securities Regulation

Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53, Apr 26, 1999

Securities and Exchange Commission

Regulation of Exchanges and Alternative Trading Systems
OGC-99-28, Jan 6, 1999

SEC

Reports To Be Made by Certain Brokers and Dealers
OGC-99-16, Nov 18, 1998

SEC

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