Securities and Exchange Commission:

Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products

OGC-99-29: Published: Jan 5, 1999. Publicly Released: Jan 5, 1999.

Multimedia:

Additional Materials:

Contact:

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on filing requirements for self-regulatory organizations (SRO) regarding derivative securities products. GAO noted that: (1) the new rule would permit a SRO to list and trade new derivative securities products pursuant to existing self-regulatory organization trading rules; and (2) SEC complied with applicable requirements in promulgating the rule.

Dec 8, 2017

Dec 7, 2017

Dec 6, 2017

Sep 29, 2017

Sep 12, 2017

Sep 7, 2017

Apr 19, 2017

Mar 29, 2017

Feb 24, 2017

Looking for more? Browse all our products here