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SEC Special Studies Archive: 2007
The Commission or Commission staff often undertake special projects to study and report on current trends and issues facing the securities industry. These files will be updated on a periodic basis.
Studies currently available include:
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994
Date |
Study |
Oct. 31, 2007 |
Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 |
Apr. 27, 2007 |
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 |
Mar. 29, 2007 |
Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans
Pursuant to Section 4(c) of the Military Personnel Financial Services Protection Act of 2006 (P.L. 109-290)
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Mar. 8, 2007 |
Report Concerning Examinations of
Options Order Routing and Execution
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Feb. 6, 2007 |
Economic Analysis of the Short Sale Price Restrictions
Under the Regulation SHO Pilot
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Jan. 25, 2007 |
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 |
Jan. 25, 2007 |
Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 |
Jan. 25, 2007 |
Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 |
http://www.sec.gov/news/studies/studiesarchive/2007archive.shtml
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