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Stock exchanges (1 - 10 of 46 items)

Financial Audit:

Financial Regulation:

Regulation SHO:

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.

Securities Markets:

Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
Published: May 31, 2005. Publicly Released: Jul 1, 2005.

Securities Markets:

Preliminary Observations on the Use of Subpenny Pricing
Published: Jul 22, 2004. Publicly Released: Jul 22, 2004.

Securities Markets:

Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight
Published: Apr 8, 2004. Publicly Released: May 11, 2004.

Securities Markets:

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.

Securities Regulation:

Improvements Needed in the Amex Listing Program
Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.