Reports and Testimonies - Browse by topic
Brokerage industry (1 - 10 of 83 items)
Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.
Mutual Fund Industry:
SEC's Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
Published: Aug 17, 2005. Publicly Released: Sep 19, 2005.
SEC Mutual Fund Oversight:
Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Mutual Fund Trading Abuses:
Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.
Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.
Lost Security Holders:
SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.
Securities Investor Protection:
Steps Needed to Better Disclose SIPC Policies to Investors
Published: May 25, 2001. Publicly Released: Jun 21, 2001.
Justice and Law Enforcement:
Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Published: Apr 27, 2001. Publicly Released: May 8, 2001.
Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.