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Brokerage industry (21 - 30 of 67 items)

SEC:

OTC Derivatives Dealers
OGC-99-17:
Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.

Securities Market Operations:

The Effects of SOES on the Nasdaq Market
GGD-98-194:
Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.

SEC Year 2000 Report:

Future Reports Could Provide More Detailed Information
GGD/AIMD-98-51:
Published: Mar 6, 1998. Publicly Released: Mar 17, 1998.

Securities Regulation:

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45:
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.

SEC:

Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
OGC-97-22:
Published: Feb 25, 1997. Publicly Released: Feb 25, 1997.

SEC:

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43:
Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.

NASD Telephone Hotline:

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171:
Published: Aug 19, 1996. Publicly Released: Aug 22, 1996.

Initial Public Offerings:

Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5:
Published: Jun 6, 1996. Publicly Released: Jun 6, 1996.

CFTC/SEC Enforcement Programs:

Status and Potential Impact of a Merger
T-GGD-96-36:
Published: Oct 25, 1995. Publicly Released: Oct 25, 1995.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-95-7(4):
Published: Oct 1, 1995. Publicly Released: Oct 1, 1995.