Reports and Testimonies - Browse by topic
Stock exchanges (1 - 10 of 46 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.
Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
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.
Securities and Exchange Commission:
Oversight of U.S. Equities Market Clearing Agencies
Published: Feb 26, 2009. Publicly Released: Mar 26, 2009.
Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
Published: May 31, 2005. Publicly Released: Jul 1, 2005.
Preliminary Observations on the Use of Subpenny Pricing
Published: Jul 22, 2004. Publicly Released: Jul 22, 2004.
Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight
Published: Apr 8, 2004. Publicly Released: May 11, 2004.
Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.
Improvements Needed in the Amex Listing Program
Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.