Brokerage industry (21 - 30 of 83 items)
Securities Market Operations: The Effects of SOES on the Nasdaq Market
GGD-98-194: Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.
Securities Regulation: Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45: Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.
SEC: Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43: Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.
Futures Markets: Heightened Audit Trail Standards Not Met But Progress Continues
GGD-96-177: Published: Sep 25, 1996. Publicly Released: Sep 25, 1996.
NASD Telephone Hotline: Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171: Published: Aug 19, 1996. Publicly Released: Aug 22, 1996.
Initial Public Offerings: Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5: Published: Jun 6, 1996. Publicly Released: Jun 6, 1996.
CFTC/SEC Enforcement Programs: Status and Potential Impact of a Merger
T-GGD-96-36: Published: Oct 25, 1995. Publicly Released: Oct 25, 1995.
Financial Institutions and Markets Issue Area: Active Assignments
AA-95-7(4): Published: Oct 1, 1995. Publicly Released: Oct 1, 1995.
Banks' Securities Activities: Oversight Differs Depending on Activity and Regulator
GGD-95-214: Published: Sep 21, 1995. Publicly Released: Sep 26, 1995.
Foreign Bank-Owned Securities Firms
GGD-95-174R: Published: Jun 6, 1995. Publicly Released: Jun 6, 1995.