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Securities (61 - 70 of 139 items)

SEC:

Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
OGC-97-57:
Published: Aug 20, 1997. Publicly Released: Aug 20, 1997.

Justice and Law Enforcement:

Banking and Commerce
OCE-97-3R:
Published: Jun 10, 1997. Publicly Released: Jun 10, 1997.

Securities and Exchange Commission:

Rules Implementing Amendments to the Investment Advisers Act of 1940 (Rule 203A-2)
OGC-97-46:
Published: Jun 2, 1997. Publicly Released: Jun 2, 1997.

Securities and Exchange Commission:

Revision of Holding Period Requirements in Rules 144 and 145
OGC-97-27:
Published: Mar 11, 1997. Publicly Released: Mar 11, 1997.

SEC:

Anti-Manipulation Rules Concerning Securities Offerings
OGC-97-11:
Published: Jan 16, 1997. Publicly Released: Jan 16, 1997.

SEC:

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43:
Published: Sep 26, 1996. Publicly Released: Sep 26, 1996.

NASD Telephone Hotline:

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171:
Published: Aug 19, 1996. Publicly Released: Aug 22, 1996.

Initial Public Offerings:

Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5:
Published: Jun 6, 1996. Publicly Released: Jun 6, 1996.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-96-6(1):
Published: Jan 2, 1996. Publicly Released: Jan 2, 1996.

CFTC/SEC Enforcement Programs:

Status and Potential Impact of a Merger
T-GGD-96-36:
Published: Oct 25, 1995. Publicly Released: Oct 25, 1995.