Reports and Testimonies - Browse by topic
Stock exchanges (21 - 30 of 46 items)
Oversight of SRO's Listing Procedures Could Be Improved
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.
Securities and Exchange Commission:
Privately Offered Investment Companies
Published: Apr 24, 1997. Publicly Released: Apr 24, 1997.
Limit Order Display Rule and Amendments to Quote Rule
Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.
American Stock Exchange:
More Changes Needed in Screening Emerging Companies for the Marketplace
Published: May 25, 1994. Publicly Released: May 31, 1994.
A Futures Transaction Fee Is Administratively Feasible
Published: Oct 28, 1993. Publicly Released: Oct 28, 1993.
SEC Actions Needed to Address Market Fragmentation Issues
Published: Jun 29, 1993. Publicly Released: Jun 29, 1993.
Regulatory Actions to Reduce Potential for Fraud and Abuse
Published: Feb 3, 1993. Publicly Released: Feb 3, 1993.
Challenges to Harmonizing International Capital Standards Remain
Published: Mar 10, 1992. Publicly Released: Mar 10, 1992.
Information Vendors Need SEC Oversight to Control Automation Risks
Published: Jan 29, 1992. Publicly Released: Jan 29, 1992.
Customer Protection Rule Oversight Procedures Appear Adequate
Published: Nov 21, 1991. Publicly Released: Nov 21, 1991.