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Office of Compliance Inspections and Examinations — Special Studies and Reports
- Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Senior Investors (September 2008)
- 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)
http://www.sec.gov/about/offices/ocie/ocie_guidance.shtml
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