Reports and Testimonies - Browse by topic
Commodities exchanges (1 - 10 of 44 items)
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.
Improvements Needed in the Amex Listing Program
Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
SEC and CFTC:
Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
Published: Jul 13, 2001. Publicly Released: Jul 30, 2001.
Securities and Exchange Commission:
Reviews of Accounting Matters Related to Public Filings
Published: Jun 14, 2001. Publicly Released: Jun 14, 2001.
Commodity Exchange Act:
Issues Related to the Regulation of Electronic Trading Systems
Published: May 5, 2000. Publicly Released: May 5, 2000.
Financial Regulatory Coordination:
The Role and Functioning of the President's Working Group
Published: Jan 21, 2000. Publicly Released: Feb 24, 2000.
Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.
Securities Market Operations:
The Effects of SOES on the Nasdaq Market
Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.
Actions Taken to Strengthen the Division of Enforcement
Published: Aug 28, 1998. Publicly Released: Aug 28, 1998.
Financial Institutions and Markets Issue Area:
Published: May 1, 1998. Publicly Released: May 1, 1998.