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SEC Special Studies Archive: 1998

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

Date Study
Oct. 26, 1998 Report on Administrative Proceedings for April 1, 1998 through September 30, 1998
Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Office of the Secretary to publish in the SEC Docket each October and April a status report on the Commission's administrative proceedings caseload.
3440602.txt [explanatory material only]; apst98-3.pdf [report, in PDF format])
Sep. 22, 1998 Inspection Report on the Soft Dollar Practices of Broker-Dealers, Investment Advisers and Mutual Funds
Because of the widespread use of soft dollars by advisers, the diverse perceptions by observers that the use of soft dollars is either inherently abusive or beneficial to clients (or somewhere in-between), and a number of recent enforcement cases involving soft dollar practices, the SEC Office of Compliance, Inspections and Examinations conducted an inspection sweep to gather information about the current uses of soft dollars. The findings from these inspections, conducted from November 1996 through April 1997, are set forth in this report.
Sep. 1998 Trading Analysis of October 27 and 28, 1997
On October 27 and 28, 1997, the nation's securities markets fell by a record absolute amount on then-record trading volume. This report, prepared by the staff of the Commission's Division of Market Regulation, reconstructs the days' events, describes the effects of circuit breakers on market price movements, and reviews the systems performance of major full-service and online broker-dealers.
Jun. 1998 Second Report on the Readiness of the United States Securities Industry and Public Companies To Meet the Information-Processing Challenges of the Year 2000
This report presents the SEC staff's current findings on the securities industry's state of readiness for the Year 2000, as well as the staff's position on issuer disclosure obligations, a survey of Year 2000 disclosure by public companies to date, and the actions that the Commission and its staff are taking to address the Year 2000 problem. Commission staff will continue to update, supplement, and reassess these findings in the upcoming months.
Apr. 30, 1998 Report on Administrative Proceedings from October 1, 1997 to March 31, 1998
Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Office of the Secretary to publish in the SEC Docket each October and April a status report on the Commission's administrative proceedings caseload.
34-39935.htm [explanatory material only]; apst98-2.pdf [report, in PDF format])
Apr. 14, 1998 Technology Roundtable: Report of Proceedings
This report, prepared by the staff of the Commission's Division of Market Regulation, discusses the Technology Roundtable that the Commission held on April 14, 1998. The roundtable brought together leaders from inside and outside the securities industry to explore the impact of changing technology on the securities markets and on the regulatory environment of the future.
(in PDF format)

http://www.sec.gov/news/studies/studiesarchive/1998archive.shtml


Modified: 10/16/2014