Reports and Testimonies - Browse by topic

Browse By:
All Topics » Financial Markets and Institutions » Securities regulation
Sort by Results per page Search within "Securities regulation"

Securities regulation (71 - 80 of 218 items) in Custom Date Range

The Commodity Exchange Act:

Issues Related to the Commodity Futures Trading Commission's Reauthorization
Published: May 5, 1999. Publicly Released: May 5, 1999.

Securities Regulation:

Actions Taken to Improve Nasdaq Listing Procedures
Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.

Securities and Exchange Commission:

Regulation of Exchanges and Alternative Trading Systems
Published: Jan 6, 1999. Publicly Released: Jan 6, 1999.

Securities and Exchange Commission:


OTC Derivatives Dealers
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
Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.

Securities Market Operations:

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

CFTC Enforcement:

Actions Taken to Strengthen the Division of Enforcement
Published: Aug 28, 1998. Publicly Released: Aug 28, 1998.


Interpretation of Section 206(3) of the Investment Advisors Act of 1940
Published: Aug 5, 1998. Publicly Released: Aug 5, 1998.

Financial Institutions and Markets Issue Area:

Active Assignments
Published: Aug 1, 1998. Publicly Released: Aug 1, 1998.