Brokerage industry (31 - 40 of 68 items)
Financial Institutions and Markets Issue Area: Active Assignments
AA-95-7(4): Published: Oct 1, 1995. Publicly Released: Oct 1, 1995.
Banks' Securities Activities: Oversight Differs Depending on Activity and Regulator
GGD-95-214: Published: Sep 21, 1995. Publicly Released: Sep 26, 1995.
Foreign Bank-Owned Securities Firms
GGD-95-174R: Published: Jun 6, 1995. Publicly Released: Jun 6, 1995.
Financial Market Regulation: Benefits and Risks of Merging SEC and CFTC
T-GGD-95-153: Published: May 3, 1995. Publicly Released: May 3, 1995.
Financial Markets: Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages
AIMD-95-22: Published: Dec 21, 1994. Publicly Released: Dec 21, 1994.
Securities Markets: Actions Needed to Better Protect Investors Against Unscrupulous Brokers
T-GGD-94-190: Published: Sep 14, 1994. Publicly Released: Sep 14, 1994.
American Stock Exchange: More Changes Needed in Screening Emerging Companies for the Marketplace
GGD-94-72: Published: May 25, 1994. Publicly Released: May 31, 1994.
Securities Markets: SEC Actions Needed to Address Market Fragmentation Issues
T-GGD-93-35: Published: Jun 29, 1993. Publicly Released: Jun 29, 1993.
Government-Sponsored Enterprises: Changes in Securities Distribution Process and Use of Derivative Products
GGD-93-70BR: Published: Mar 16, 1993. Publicly Released: Mar 16, 1993.
Penny Stocks: Regulatory Actions to Reduce Potential for Fraud and Abuse
GGD-93-59: Published: Feb 3, 1993. Publicly Released: Feb 3, 1993.