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Brokerage industry (31 - 40 of 66 items)

Financial Markets and Institutions

Foreign Bank-Owned Securities Firms
GGD-95-174R, Jun 6, 1995

Financial Market Regulation

Benefits and Risks of Merging SEC and CFTC
T-GGD-95-153, May 3, 1995

Financial Markets

Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages
AIMD-95-22, Dec 21, 1994

Securities Markets

Actions Needed to Better Protect Investors Against Unscrupulous Brokers
T-GGD-94-190, Sep 14, 1994

American Stock Exchange

More Changes Needed in Screening Emerging Companies for the Marketplace
GGD-94-72, May 25, 1994

Securities Markets

SEC Actions Needed to Address Market Fragmentation Issues
T-GGD-93-35, Jun 29, 1993

Government-Sponsored Enterprises

Changes in Securities Distribution Process and Use of Derivative Products
GGD-93-70BR, Mar 16, 1993

Penny Stocks

Regulatory Actions to Reduce Potential for Fraud and Abuse
GGD-93-59, Feb 3, 1993

Securities Investor Protection

The Regulatory Framework Has Minimized SIPC's Losses
GGD-92-109, Sep 28, 1992

Securities Firms

Assessing the Need to Regulate Additional Financial Activities
GGD-92-70, Apr 21, 1992
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