Securities regulation (51 - 60 of 139 items)
Securities and Exchange Commission: Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
OGC-99-29: Published: Jan 5, 1999. Publicly Released: Jan 5, 1999.
SEC: OTC Derivatives Dealers
OGC-99-17: Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.
Money Penalties: Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8: Published: Nov 2, 1998. Publicly Released: Nov 2, 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: Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65: Published: Aug 5, 1998. Publicly Released: Aug 5, 1998.
Securities Pricing: Actions Needed for Conversion to Decimals
T-GGD-98-121: Published: May 8, 1998. Publicly Released: May 8, 1998.
SEC: Offshore Offers and Sales
OGC-98-33: Published: Mar 11, 1998. Publicly Released: Mar 11, 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: Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20: Published: Dec 18, 1997. Publicly Released: Dec 18, 1997.
OTC Derivatives: Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5: Published: Oct 2, 1997. Publicly Released: Oct 9, 1997.