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Securities regulation (51 - 60 of 138 items)

SEC

OTC Derivatives Dealers
OGC-99-17, Nov 18, 1998

Money Penalties

Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8, Nov 2, 1998

Securities Market Operations

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

SEC

Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65, Aug 5, 1998

Securities Pricing

Actions Needed for Conversion to Decimals
T-GGD-98-121, May 8, 1998

SEC

Offshore Offers and Sales
OGC-98-33, Mar 11, 1998

Securities Regulation

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

SEC

Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20, Dec 18, 1997

OTC Derivatives

Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5, Oct 2, 1997

SEC

Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
OGC-97-57, Aug 20, 1997

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