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Brokerage industry (11 - 20 of 83 items)

Mutual Fund Fees:

Additional Disclosure Could Encourage Price Competition
GGD-00-126:
Published: Jun 7, 2000. Publicly Released: Jul 5, 2000.

Securities Arbitration:

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115:
Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.

On-Line Trading:

Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43:
Published: May 9, 2000. Publicly Released: Jun 8, 2000.

Securities Operations:

Day Trading Requires Continued Oversight
GGD-00-61:
Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.

Securities and Exchange Commission:

Long-Term Capital Management:

Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3:
Published: Oct 29, 1999. Publicly Released: Nov 19, 1999.

Securities and Exchange Commission:

Regulation of Takeovers and Security Holder Communications
OGC-00-12:
Published: Nov 19, 1999. Publicly Released: Nov 19, 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.

SEC:

OTC Derivatives Dealers
OGC-99-17:
Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.