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Brokerage industry (31 - 40 of 83 items)

Financial Market Regulation:

Benefits and Risks of Merging SEC and CFTC
T-GGD-95-153:
Published: May 3, 1995. Publicly Released: May 3, 1995.

Financial Markets:

Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages
AIMD-95-22:
Published: Dec 21, 1994. Publicly Released: Dec 21, 1994.

Securities Markets:

Actions Needed to Better Protect Investors Against Unscrupulous Brokers
GGD-94-208:
Published: Sep 14, 1994. Publicly Released: Sep 14, 1994.

Securities Markets:

Actions Needed to Better Protect Investors Against Unscrupulous Brokers
T-GGD-94-190:
Published: Sep 14, 1994. Publicly Released: Sep 14, 1994.

Financial Markets and Institutions:

Response to the International Swaps and Derivatives Association Position Paper
T-GGD-94-163:
Published: Jun 14, 1994. Publicly Released: Jun 14, 1994.

American Stock Exchange:

More Changes Needed in Screening Emerging Companies for the Marketplace
GGD-94-72:
Published: May 25, 1994. Publicly Released: May 31, 1994.

Employment Discrimination:

How Registered Representatives Fare In Discrimination Disputes
HEHS-94-17:
Published: Mar 30, 1994. Publicly Released: Apr 1, 1994.

Securities Markets:

SEC Actions Needed to Address Market Fragmentation Issues
T-GGD-93-35:
Published: Jun 29, 1993. Publicly Released: Jun 29, 1993.

Government-Sponsored Enterprises:

Changes in Securities Distribution Process and Use of Derivative Products
GGD-93-70BR:
Published: Mar 16, 1993. Publicly Released: Mar 16, 1993.

Penny Stocks:

Regulatory Actions to Reduce Potential for Fraud and Abuse
GGD-93-59:
Published: Feb 3, 1993. Publicly Released: Feb 3, 1993.