Reports and Testimonies - Browse by topic
Brokerage industry (1 - 10 of 67 items)
Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Improved Regulation Could Better Protect Participants from Conflicts of Interest
Published: Jan 28, 2011. Publicly Released: Feb 28, 2011.
Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.
Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
Published: May 31, 2005. Publicly Released: Jul 1, 2005.
SEC Mutual Fund Oversight:
Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Preliminary Observations on the Use of Subpenny Pricing
Published: Jul 22, 2004. Publicly Released: Jul 22, 2004.
Financial Markets and Institutions:
Follow-up Report on Matters Relating to Securities Arbitration
Published: Apr 11, 2003. Publicly Released: May 13, 2003.
Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.
Lost Security Holders:
SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.
Securities Investor Protection:
Steps Needed to Better Disclose SIPC Policies to Investors
Published: May 25, 2001. Publicly Released: Jun 21, 2001.