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Searching titles, summaries and other information about our publications.
Showing 1 - 10 of 22 results Sort by: date | relevance «previous next»
Securities and Exchange Commission Should Strengthen Its Inspection Oversight of the National Association of Securities Dealers
FGMSD-78-65, October 5, 1978
Summary (HTML)   Full Report (PDF, 30 pages)  
Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate
GGD-92-17, November 21, 1991
Summary (HTML)   Full Report (PDF, 14 pages)  
Survey of Investor Protection and the Regulation of Financial Intermediaries
GGD-83-30, July 13, 1983
Summary (HTML)   Full Report (PDF, 102 pages)  
Securities Markets: Clearly Defined 'Chinese Wall' Standards Have Been Issued
GGD-91-115, August 21, 1991
Summary (HTML)   Full Report (PDF, 10 pages)  
Futures Markets: A Futures Transaction Fee Is Administratively Feasible
GGD-94-40, October 28, 1993
Summary (HTML)   Full Report (PDF, 8 pages)  
Securities Industry: Additional Testing Needed to Ensure Efficient Post-Trade Processing of Stocks
IMTEC-90-83, September 26, 1990
Summary (HTML)   Full Report (PDF, 22 pages)  
Financial Markets: Active Oversight of Market Automation by SEC and CFTC Needed
IMTEC-91-21, April 2, 1991
Summary (HTML)   Full Report (PDF, 18 pages)  
Futures Markets: Strengthening Sales Practice Oversight
GGD-91-41, April 25, 1991
Summary (HTML)   Full Report (PDF, 54 pages)  
CFTC/SEC Enforcement Programs: Status and Potential Impact of a Merger
T-GGD-96-36, October 25, 1995
Summary (HTML)   Full Report (PDF, 17 pages)  
Futures Markets: Preliminary Information Related to a Futures Transaction Fee
GGD-93-108, May 17, 1993
Summary (HTML)   Full Report (PDF, 22 pages)  
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Showing 1 - 10 of 22 results Sort by: date | relevance «previous next»

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