Reports and Testimonies - Browse by topic
Brokerage industry (31 - 40 of 67 items)
Banks' Securities Activities:
Oversight Differs Depending on Activity and Regulator
Published: Sep 21, 1995. Publicly Released: Sep 26, 1995.
Financial Markets and Institutions:
Foreign Bank-Owned Securities Firms
Published: Jun 6, 1995. Publicly Released: Jun 6, 1995.
Financial Market Regulation:
Benefits and Risks of Merging SEC and CFTC
Published: May 3, 1995. Publicly Released: May 3, 1995.
Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages
Published: Dec 21, 1994. Publicly Released: Dec 21, 1994.
Actions Needed to Better Protect Investors Against Unscrupulous Brokers
Published: Sep 14, 1994. Publicly Released: Sep 14, 1994.
American Stock Exchange:
More Changes Needed in Screening Emerging Companies for the Marketplace
Published: May 25, 1994. Publicly Released: May 31, 1994.
SEC Actions Needed to Address Market Fragmentation Issues
Published: Jun 29, 1993. Publicly Released: Jun 29, 1993.
Changes in Securities Distribution Process and Use of Derivative Products
Published: Mar 16, 1993. Publicly Released: Mar 16, 1993.
Regulatory Actions to Reduce Potential for Fraud and Abuse
Published: Feb 3, 1993. Publicly Released: Feb 3, 1993.
Securities Investor Protection:
The Regulatory Framework Has Minimized SIPC's Losses
Published: Sep 28, 1992. Publicly Released: Sep 28, 1992.