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Securities regulation (71 - 80 of 214 items) in Custom Date Range

SEC

OTC Derivatives Dealers
OGC-99-17, Nov 18, 1998

Money Penalties

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

Securities Market Operations

The Effects of SOES on the Nasdaq Market
GGD-98-194, Aug 31, 1998

CFTC Enforcement

Actions Taken to Strengthen the Division of Enforcement
GGD-98-193, Aug 28, 1998

SEC

Interpretation of Section 206(3) of the Investment Advisors Act of 1940
OGC-98-65, Aug 5, 1998

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(3), Aug 1, 1998

Securities Pricing

Actions Needed for Conversion to Decimals
T-GGD-98-121, May 8, 1998

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(2), May 1, 1998

SEC

Registration Form Used by Open-End Management Investment Companies and New Disclosure Option for Open-End Management Investment Companies
OGC-98-40, Apr 3, 1998

SEC

Offshore Offers and Sales
OGC-98-33, Mar 11, 1998
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