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Brokerage industry (51 - 60 of 83 items)

Securities Industry:

Strengthening Sales Practice Oversight
Published: Apr 25, 1991. Publicly Released: Apr 25, 1991.

Futures Markets:

Strengthening Sales Practice Oversight
Published: Apr 25, 1991. Publicly Released: Apr 25, 1991.

Financial Markets:

Active Oversight of Market Automation by SEC and CFTC Needed
Published: Apr 2, 1991. Publicly Released: Apr 2, 1991.

Futures Markets:

Use of Automation to Detect Trade Abuses
Published: Aug 24, 1990. Publicly Released: Sep 25, 1990.

U.S. Government Securities:

More Transaction Information and Investor Protection Measures Are Needed
Published: Sep 14, 1990. Publicly Released: Sep 14, 1990.

Securities and Futures Markets:

Assessment of SEC and CFTC Studies of October 1989 Market Volatilities
Published: Jul 17, 1990. Publicly Released: Jul 17, 1990.

Financial Markets:

Oversight of Automation Used to Clear and Settle Trades Is Uneven
Published: Jul 12, 1990. Publicly Released: Jul 12, 1990.

Futures Markets:

Information on Six Foreign Automated Trading Systems
Published: Apr 27, 1990. Publicly Released: May 8, 1990.

Clearance and Settlement Reform:

The Stock, Options, and Futures Markets Are Still at Risk
Published: Apr 11, 1990. Publicly Released: Apr 11, 1990.

Securities Trading:

SEC Action Needed to Address National Market System Issues
Published: Mar 12, 1990. Publicly Released: Mar 12, 1990.