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Brokerage industry (1 - 10 of 83 items) in Custom Date Range

Financial Audit:

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.

Mutual Fund Industry:

SEC's Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
Published: Aug 17, 2005. Publicly Released: Sep 19, 2005.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

Mutual Fund Trading Abuses:

Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.

Securities Markets:

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.

Lost Security Holders:

SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.

Securities Investor Protection:

Steps Needed to Better Disclose SIPC Policies to Investors
Published: May 25, 2001. Publicly Released: Jun 21, 2001.

Justice and Law Enforcement:

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Published: Apr 27, 2001. Publicly Released: May 8, 2001.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.