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Securities regulation (101 - 110 of 214 items)

Initial Public Offerings

Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5, Jun 6, 1996

Financial Markets and Institutions

Financial Institutions and Markets Issue Area Plan--Fiscal Years 1997-98
IAP-96-11, May 1, 1996

Financial Institutions and Markets Issue Area

Active Assignments
AA-96-6(2), Apr 6, 1996

Financial Institutions and Markets Issue Area

Active Assignments
AA-96-6(1), Jan 2, 1996

Administrative Law Judges

Comparison of SEC and CFTC Programs
GGD-96-27, Nov 14, 1995

Bank Mutual Funds

Sales Practices and Regulatory Issues
GGD-95-210, Sep 27, 1995

CFTC/SEC Enforcement Programs

Status and Potential Impact of a Merger
T-GGD-96-36, Oct 25, 1995

Financial Institutions and Markets Issue Area

Active Assignments
AA-95-7(4), Oct 1, 1995

Banks' Securities Activities

Oversight Differs Depending on Activity and Regulator
GGD-95-214, Sep 21, 1995

Financial Institutions and Markets Issue Area

Active Assignments
AA-95-7(3), Jul 1, 1995
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