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Brokerage industry (21 - 30 of 82 items)

Securities Regulation

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45, Feb 6, 1998

SEC

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43, Sep 26, 1996

Futures Markets

Heightened Audit Trail Standards Not Met But Progress Continues
GGD-96-177, Sep 25, 1996

NASD Telephone Hotline

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171, Aug 19, 1996

Initial Public Offerings

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

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 Markets and Institutions

Foreign Bank-Owned Securities Firms
GGD-95-174R, Jun 6, 1995

Financial Market Regulation

Benefits and Risks of Merging SEC and CFTC
T-GGD-95-153, May 3, 1995
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