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Securities (61 - 70 of 138 items)

Justice and Law Enforcement

Banking and Commerce
OCE-97-3R, Jun 10, 1997

Securities and Exchange Commission

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

Securities and Exchange Commission

Revision of Holding Period Requirements in Rules 144 and 145
OGC-97-27, Mar 11, 1997

SEC

Anti-Manipulation Rules Concerning Securities Offerings
OGC-97-11, Jan 16, 1997

SEC

Limit Order Display Rule and Amendments to Quote Rule
OGC-96-43, Sep 26, 1996

NASD Telephone Hotline

Enhancements Could Help Investors Be Better Informed About Brokers' Disciplinary Records
GGD-96-171, Aug 19, 1996

Initial Public Offerings

Guidance Needed on Disclosure of Underwriters' Disciplinary Histories
GGD-96-5, Jun 6, 1996

Financial Institutions and Markets Issue Area

Active Assignments
AA-96-6(1), Jan 2, 1996

CFTC/SEC Enforcement Programs

Status and Potential Impact of a Merger
T-GGD-96-36, Oct 25, 1995

Financial Institutions and Markets Issue Area

Active Assignments
AA-95-7(4), Oct 1, 1995
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