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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:

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.