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.
A Nonbanker's Perspective on Banking Reform
147032: Jan 1, 1992
Modernize Banking...But With Care
147030: Jan 1, 1992
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.