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Securities regulation (81 - 90 of 214 items) in Custom Date Range

Securities Regulation

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45, Feb 6, 1998

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(1), Feb 1, 1998

SEC

Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20, Dec 18, 1997

Results Act

Observations on CFTC's Strategic Plan
T-GGD-98-17, Oct 22, 1997

OTC Derivatives

Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5, Oct 2, 1997

Financial Institutions and Markets Issue Area

Active Assignments
AA-97-6(3), Sep 1, 1997

SEC

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

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

Mutual Funds

SEC Adjusted Its Oversight in Response to Rapid Industry Growth
GGD-97-67, May 28, 1997
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