Brokerage industry (21 - 30 of 67 items)
SEC: Reports To Be Made by Certain Brokers and Dealers
OGC-99-16: 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.