Office of Compliance Inspections and Examinations — Special Studies and Reports

Staff Letters

• Letter from Lori Richards to Investment Advisers (May 1, 2000)

Special Studies / Reports

• Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (July 2008)
   
• Protecting Senior Investors: Report of Examinations of Securities Firms Providing "Free Lunch" Sales Seminars (September 2007)
   
• Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (March 29, 2007)
   
• Report Concerning Examinations of Options Order Routing and Execution (March 8, 2007)
   
• Staff Report Concerning Examinations of Select Pension Consultants (May 16, 2005)
   
• Joint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products (June 9, 2004)
   
• Implications of the Growth of Hedge Funds (September 2003)
   
• Staff Report: Joint SEC/NASD/NYSE Report of Examinations of Broker-Dealers Regarding Discounts on Front-End Sales Charges on Mutual Funds (March 2003)
   
• On Line Trading Report (January 25, 2001)
   
• Payment for Order Flow and Internalization of Options Markets (December 2000)
   
• Report Concerning Display Customer Limit Orders (May 4, 2000)
   
• Special Study: Report of Examinations of Day-Trading Broker-Dealers (February 25, 2000)
   
• Broker-Dealer Risk Management Practices Joint Statement (July 1999)
   
• Report on Soft Dollar Practices (September 1998)
   
• Joint Regulatory Sales Practices Sweep (March 1996)
   
• The Large Firm Project (May 1994)

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