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Securities regulation (81 - 90 of 218 items) in Custom Date Range

Securities Pricing:

Actions Needed for Conversion to Decimals
T-GGD-98-121:
Published: May 8, 1998. Publicly Released: May 8, 1998.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-98-6(2):
Published: May 1, 1998. Publicly Released: May 1, 1998.

SEC:

SEC:

Offshore Offers and Sales
OGC-98-33:
Published: Mar 11, 1998. Publicly Released: Mar 11, 1998.

Securities Regulation:

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45:
Published: Feb 6, 1998. Publicly Released: Feb 17, 1998.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-98-6(1):
Published: Feb 1, 1998. Publicly Released: Feb 1, 1998.

SEC:

Technical Revisions to the Rules and Forms Regulating Money Market Funds
OGC-98-20:
Published: Dec 18, 1997. Publicly Released: Dec 18, 1997.

Results Act:

Observations on CFTC's Strategic Plan
T-GGD-98-17:
Published: Oct 22, 1997. Publicly Released: Oct 22, 1997.

OTC Derivatives:

Additional Oversight Could Reduce Costly Sales Practice Disputes
GGD-98-5:
Published: Oct 2, 1997. Publicly Released: Oct 9, 1997.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-97-6(3):
Published: Sep 1, 1997. Publicly Released: Sep 1, 1997.