Reports and Testimonies - Browse by topic

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Brokerage industry (1 - 10 of 67 items) in Custom Date Range

Financial Audit:

401(K) Plans:

Improved Regulation Could Better Protect Participants from Conflicts of Interest
Published: Jan 28, 2011. Publicly Released: Feb 28, 2011.

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.

Securities Markets:

Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
Published: May 31, 2005. Publicly Released: Jul 1, 2005.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

Securities Markets:

Preliminary Observations on the Use of Subpenny Pricing
Published: Jul 22, 2004. Publicly Released: Jul 22, 2004.

Financial Markets and Institutions:

Follow-up Report on Matters Relating to Securities Arbitration
Published: Apr 11, 2003. Publicly Released: May 13, 2003.

Securities Markets:

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.

Lost Security Holders:

SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.

Securities Investor Protection:

Steps Needed to Better Disclose SIPC Policies to Investors
Published: May 25, 2001. Publicly Released: Jun 21, 2001.