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Brokerage industry (41 - 50 of 83 items)

Securities Investor Protection:

The Regulatory Framework Has Minimized SIPC's Losses
GGD-92-109:
Published: Sep 28, 1992. Publicly Released: Sep 28, 1992.

Securities and Futures Markets:

Cross-Border Information Sharing Is Improving, but Obstacles Remain
GGD-92-110:
Published: Jul 28, 1992. Publicly Released: Jul 28, 1992.

Securities Firms:

Assessing the Need to Regulate Additional Financial Activities
GGD-92-70:
Published: Apr 21, 1992. Publicly Released: Apr 21, 1992.

Securities Markets:

Challenges to Harmonizing International Capital Standards Remain
GGD-92-41:
Published: Mar 10, 1992. Publicly Released: Mar 10, 1992.

Stock Markets:

Information Vendors Need SEC Oversight to Control Automation Risks
IMTEC-92-16:
Published: Jan 29, 1992. Publicly Released: Jan 29, 1992.

Financial Markets and Institutions:

Financial Markets and Institutions:

Securities Regulation:

Customer Protection Rule Oversight Procedures Appear Adequate
GGD-92-17:
Published: Nov 21, 1991. Publicly Released: Nov 21, 1991.

Securities and Futures Markets:

Efforts to Detect Intermarket Frontrunning
GGD-91-135:
Published: Sep 26, 1991. Publicly Released: Oct 28, 1991.

Securities Markets:

Clearly Defined 'Chinese Wall' Standards Have Been Issued
GGD-91-115:
Published: Aug 21, 1991. Publicly Released: Sep 20, 1991.