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Securities (51 - 60 of 139 items)

Securities and Exchange Commission:

SEC:

OTC Derivatives Dealers
OGC-99-17:
Published: Nov 18, 1998. Publicly Released: Nov 18, 1998.

Money Penalties:

Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8:
Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.

Securities Market Operations:

The Effects of SOES on the Nasdaq Market
GGD-98-194:
Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.

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.

Securities Pricing:

Actions Needed for Conversion to Decimals
T-GGD-98-121:
Published: May 8, 1998. Publicly Released: May 8, 1998.

SEC:

Offshore Offers and Sales
OGC-98-33:
Published: Mar 11, 1998. Publicly Released: Mar 11, 1998.

Securities Regulation:

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45:
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.

SEC:

Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20:
Published: Dec 18, 1997. Publicly Released: Dec 18, 1997.

OTC Derivatives:

Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5:
Published: Oct 2, 1997. Publicly Released: Oct 9, 1997.