Reports and Testimonies - Browse by topic
Brokerage industry (21 - 30 of 83 items)
Securities Market Operations:
The Effects of SOES on the Nasdaq Market
Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.
Oversight of SRO's Listing Procedures Could Be Improved
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.
Limit Order Display Rule and Amendments to Quote Rule
Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.
Heightened Audit Trail Standards Not Met But Progress Continues
Published: Sep 25, 1996. Publicly Released: Sep 25, 1996.
NASD Telephone Hotline:
Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
Published: Aug 19, 1996. Publicly Released: Aug 22, 1996.
Initial Public Offerings:
Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
Published: Jun 6, 1996. Publicly Released: Jun 6, 1996.
CFTC/SEC Enforcement Programs:
Status and Potential Impact of a Merger
Published: Oct 25, 1995. Publicly Released: Oct 25, 1995.
Financial Institutions and Markets Issue Area:
Published: Oct 1, 1995. Publicly Released: Oct 1, 1995.
Banks' Securities Activities:
Oversight Differs Depending on Activity and Regulator
Published: Sep 21, 1995. Publicly Released: Sep 26, 1995.
Financial Markets and Institutions:
Foreign Bank-Owned Securities Firms
Published: Jun 6, 1995. Publicly Released: Jun 6, 1995.