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Federal/State Cooperation
Press Release - SEC, NASAA to Co-Sponsor Conference on Federal-State Securities Regulation. April 5, 2004.
(File name: 2004-46.htm
Final Report of 2003 Conference on Federal-State Securities Regulation. June 2003.
(File names: ffedst2003.htm or ffedst2003.pdf – PDF version recommended for printing)
Final Report of 2002 Conference on Federal-State Securities Regulation. November 2002.
(File names: ffedst2002.htm or ffedst2002.pdf – PDF version recommended for printing)
Final Report of 2001 Conference on Federal-State Securities Regulation. April 2002.
(File name: ffedst01.htm)
Final Report of 2000 Conference on Federal-State Securities Regulation. January 2001.
(File name: ffedst00.htm)
Final Report of 1998 NASAA-SEC meeting. October 1998.
(File name: fnasasec.htm)
Final Report of the 1997 Conference on Federal-State Securities Regulation. September 1997.
(File name: ffedst97.htm)
Securities and Exchange Commission Announces Agreement to Promote Coordinated Industry Examinations.
(File name: mouind.txt)
Memorandum of Understanding Among the Securities and Exchange Commission, American Stock Exchange, Chicago Board Options Exchange, National Association of Securities Dealers, New York Stock Exchange, and the North American Securities Administrators Association, Concerning Consultation and Coordination With Respect to the Regulatory Examination of Broker-Dealers, November 28, 1995.
(File name: mouex.txt)
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http://www.sec.gov/info/smallbus/sbcoop.shtml
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