Reports and Testimonies - Browse by topic

Browse By:
  
Sort by Results per page Search within "Brokerage industry"

Brokerage industry (21 - 30 of 66 items)

Securities Market Operations

The Effects of SOES on the Nasdaq Market
GGD-98-194, Aug 31, 1998

SEC Year 2000 Report

Future Reports Could Provide More Detailed Information
GGD/AIMD-98-51, Mar 6, 1998

Securities Regulation

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45, Feb 6, 1998

SEC

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

SEC

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43, Sep 26, 1996

NASD Telephone Hotline

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171, Aug 19, 1996

Initial Public Offerings

Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5, Jun 6, 1996

CFTC/SEC Enforcement Programs

Status and Potential Impact of a Merger
T-GGD-96-36, Oct 25, 1995

Financial Institutions and Markets Issue Area

Active Assignments
AA-95-7(4), Oct 1, 1995

Banks' Securities Activities

Oversight Differs Depending on Activity and Regulator
GGD-95-214, Sep 21, 1995
< Prev1234567Next >