SEC Special Studies Archive: 1994
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:
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|Sep. 26, 1994
||Mutual Funds and Derivative Instruments
This memorandum responds to a Congressional request for a Commission study of mutual fund use of derivatives and, more particularly, the adequacy of applicable laws and regulations. The memorandum describes Commission actions taken to address investor protection issues raised by mutual fund use of derivatives and contains staff recommendations for further Commission action.
|Sep. 22, 1994
||Personal Investment Activities of Investment Company Personnel
The Commission's Division of Investment Management has undertaken a detailed examination of the personal investment activities of fund managers associated with thirty fund complexes, and conducted an analysis of the regulatory scheme that governs the investment activities of fund personnel generally. This report describes the Division's findings and contains recommendations designed to enhance the oversight of the personal investment activities of fund personnel and improve ethical standards throughout the fund industry.
|Sep. 14, 1994
||Testimony of Arthur Levitt, Chairman, U.S. Securities and Exchange Commission Concerning "The Large Firm Project"
Before The Subcommittee On Telecommunications And Finance, Committee on Energy and Commerce, U.S. House of Representatives
|Sep. 14, 1994
||Report On The Status of Recommendations From The Large Firm Project
Prepared By The Division of Market Regulation and The Division of Enforcement.
||The Large Firm Project
This report announces the findings of a review undertaken by the SEC, the New York Stock Exchange and the National Association of Securities Dealers, Inc., of the hiring, retention and supervisory practices of nine of the largest broker-dealers in the United States. This review was commenced because of increased concerns regarding the frequency and severity of sales practice abuses perpetrated by some registered representatives (often referred to as "rogue brokers").