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Securities regulation (91 - 100 of 218 items)

SEC:

Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
OGC-97-57:
Published: Aug 20, 1997. Publicly Released: Aug 20, 1997.

Justice and Law Enforcement:

Banking and Commerce
OCE-97-3R:
Published: Jun 10, 1997. Publicly Released: Jun 10, 1997.

Securities and Exchange Commission:

Rules Implementing Amendments to the Investment Advisers Act of 1940 (Rule 203A-2)
OGC-97-46:
Published: Jun 2, 1997. Publicly Released: Jun 2, 1997.

Mutual Funds:

SEC Adjusted Its Oversight in Response to Rapid Industry Growth
GGD-97-67:
Published: May 28, 1997. Publicly Released: May 28, 1997.

The Commodity Exchange Act:

Legal and Regulatory Issues Remain
GGD-97-50:
Published: Apr 7, 1997. Publicly Released: Apr 7, 1997.

Securities and Exchange Commission:

Revision of Holding Period Requirements in Rules 144 and 145
OGC-97-27:
Published: Mar 11, 1997. Publicly Released: Mar 11, 1997.

SEC:

Anti-Manipulation Rules Concerning Securities Offerings
OGC-97-11:
Published: Jan 16, 1997. Publicly Released: Jan 16, 1997.

Justice and Law Enforcement:

Financial Institutions and Markets Issue Area--Active Assignments
AA-97-6(1):
Published: Jan 2, 1997. Publicly Released: Jan 2, 1997.

Financial Derivatives:

Actions Taken or Proposed Since May 1994
GGD/AIMD-97-8:
Published: Nov 1, 1996. Publicly Released: Nov 1, 1996.

SEC:

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43:
Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.