Securities regulation (71 - 80 of 218 items)
The Commodity Exchange Act: Issues Related to the Commodity Futures Trading Commission's Reauthorization
GGD-99-74: Published: May 5, 1999. Publicly Released: May 5, 1999.
Securities Regulation: Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53: Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.
Securities and Exchange Commission: Regulation of Exchanges and Alternative Trading Systems
OGC-99-28: Published: Jan 6, 1999. Publicly Released: Jan 6, 1999.
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.
CFTC Enforcement: Actions Taken to Strengthen the Division of Enforcement
GGD-98-193: Published: Aug 28, 1998. Publicly Released: Aug 28, 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.
Financial Institutions and Markets Issue Area: Active Assignments
AA-98-6(3): Published: Aug 1, 1998. Publicly Released: Aug 1, 1998.