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Securities regulation (91 - 100 of 214 items)

The Commodity Exchange Act

Legal and Regulatory Issues Remain
GGD-97-50, Apr 7, 1997

Securities and Exchange Commission

Revision of Holding Period Requirements in Rules 144 and 145
OGC-97-27, Mar 11, 1997

SEC

Anti-Manipulation Rules Concerning Securities Offerings
OGC-97-11, Jan 16, 1997

Justice and Law Enforcement

Financial Institutions and Markets Issue Area--Active Assignments
AA-97-6(1), Jan 2, 1997

Financial Derivatives

Actions Taken or Proposed Since May 1994
GGD/AIMD-97-8, Nov 1, 1996

SEC

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43, Sep 26, 1996

Futures Markets

Heightened Audit Trail Standards Not Met But Progress Continues
GGD-96-177, Sep 25, 1996

The Accounting Profession

Appendixes to Major Issues: Progress and Concerns
AIMD-96-98A, Sep 24, 1996

NASD Telephone Hotline

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171, Aug 19, 1996

Bank Mutual Funds

Improvements in Risk Disclosure Needed
T-GGD-96-141, Jun 26, 1996
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