Securities regulation (61 - 70 of 220 items)
Securities Arbitration: Actions Needed to Address Problem of Unpaid Awards
GGD-00-115: Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.
On-Line Trading: Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43: Published: May 9, 2000. Publicly Released: Jun 8, 2000.
Commodity Exchange Act: Issues Related to the Regulation of Electronic Trading Systems
GGD-00-99: Published: May 5, 2000. Publicly Released: May 5, 2000.
CFTC and SEC: Issues Related to the Shad-Johnson Jurisdictional Accord
GGD-00-89: Published: Apr 6, 2000. Publicly Released: Apr 6, 2000.
Securities Pricing: Progress and Challenges in Converting to Decimals
T-GGD-00-96: Published: Mar 1, 2000. Publicly Released: Mar 1, 2000.
Securities Operations: Day Trading Requires Continued Oversight
GGD-00-61: Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.
Financial Regulatory Coordination: The Role and Functioning of the President's Working Group
GGD-00-46: Published: Jan 21, 2000. Publicly Released: Feb 24, 2000.
Securities Exchange Act: Review of Reporting Under Section 10A
AIMD-00-54R: Published: Feb 4, 2000. Publicly Released: Feb 4, 2000.
Securities and Exchange Commission: Adoption of Amendments to the Intermarket Trading System Plan to Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
OGC-00-15: Published: Dec 22, 1999. Publicly Released: Dec 22, 1999.
Long-Term Capital Management: Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3: Published: Oct 29, 1999. Publicly Released: Nov 19, 1999.