Reports and Testimonies - Browse by topic

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Brokerage industry (11 - 20 of 82 items)

Securities Arbitration

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115, Jun 15, 2000

On-Line Trading

Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43, May 9, 2000

Securities Operations

Day Trading Requires Continued Oversight
GGD-00-61, Feb 24, 2000

Securities and Exchange Commission

Adoption of Amendments to the Intermarket Trading System Plan to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
OGC-00-15, Dec 22, 1999

Long-Term Capital Management

Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3, Oct 29, 1999

Securities and Exchange Commission

Regulation of Takeovers and Security Holder Communications
OGC-00-12, Nov 19, 1999

Securities Regulation

Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53, Apr 26, 1999

Securities and Exchange Commission

Regulation of Exchanges and Alternative Trading Systems
OGC-99-28, Jan 6, 1999

SEC

OTC Derivatives Dealers
OGC-99-17, Nov 18, 1998

Securities Market Operations

The Effects of SOES on the Nasdaq Market
GGD-98-194, Aug 31, 1998
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