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Securities regulation (51 - 60 of 214 items) in Custom Date Range

Securities and Exchange Commission

Unlisted Trading Privileges
OGC-00-66, Sep 19, 2000

Auditing and Financial Management

Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R, Aug 15, 2000

Securities and Exchange Commission

Selective Disclosure and Insider Trading
OGC-00-61, Sep 7, 2000

Mutual Fund Fees

Additional Disclosure Could Encourage Price Competition
GGD-00-126, Jun 7, 2000

Securities Arbitration

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115, Jun 15, 2000

On-Line Trading

Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43, May 9, 2000

Commodity Exchange Act

Issues Related to the Regulation of Electronic Trading Systems
GGD-00-99, May 5, 2000

CFTC and SEC

Issues Related to the Shad-Johnson Jurisdictional Accord
GGD-00-89, Apr 6, 2000

Securities Pricing

Progress and Challenges in Converting to Decimals
T-GGD-00-96, Mar 1, 2000

Securities Operations

Day Trading Requires Continued Oversight
GGD-00-61, Feb 24, 2000
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