Information disclosure (11 - 20 of 36 items)
On-Line Trading: Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43: Published: May 9, 2000. Publicly Released: Jun 8, 2000.
Securities Operations: Day Trading Requires Continued Oversight
GGD-00-61: Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.
Securities and Exchange Commission: Regulation of Exchanges and Alternative Trading Systems
OGC-99-28: Published: Jan 6, 1999. Publicly Released: Jan 6, 1999.
SEC: Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65: Published: Aug 5, 1998. Publicly Released: Aug 5, 1998.
SEC: Registration Form Used by Open-End Management Investment Companies and New Disclosure Option for Open-End Management Investment Companies
OGC-98-40: Published: Apr 3, 1998. Publicly Released: Apr 3, 1998.
OTC Derivatives: Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5: Published: Oct 2, 1997. Publicly Released: Oct 9, 1997.
Mutual Funds: SEC Adjusted Its Oversight in Response to Rapid Industry Growth
GGD-97-67: Published: May 28, 1997. Publicly Released: May 28, 1997.
Financial Derivatives: Actions Taken or Proposed Since May 1994
GGD/AIMD-97-8: Published: Nov 1, 1996. Publicly Released: Nov 1, 1996.
Bank Mutual Funds: Improvements in Risk Disclosure Needed
T-GGD-96-141: Published: Jun 26, 1996. Publicly Released: Jun 26, 1996.
Initial Public Offerings: Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5: Published: Jun 6, 1996. Publicly Released: Jun 6, 1996.