SEC Special Studies Archive: 2006
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. 14, 2006
||Draft Economic Analysis of the Short Sale Price Restrictions Under the Regulation SHO Pilot|
Prepared by staff of the Office of Economic Analysis
|Aug. 1, 2006
||Proposed Study to Compare Roles of Investment Advisers, Broker-Dealers|
The U.S. Securities and Exchange Commission today issued a request for contract proposals to conduct the first stage of a major study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect investors. The full text of the RFP can be accessed on the Commission's website at http://www.sec.gov/news/extra/2006/
sechq1-06-r-0177.pdf. It is also posted at http://www.fedbizopps.gov, a website concerning federal government procurement opportunities. Questions and answers regarding the request for contract proposal are posted at http://www2.fbo.gov/spg/SEC/OAPM/PCB/
|Apr. 27, 2006
||Joint Report on Efforts of the Private Sector to Implement the
Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System|
Congress in the Intelligence Reform and Terrorism Prevention Act required the Federal Reserve, the Office of the Comptroller of the Currency, and the Securities Exchange Commission (agencies) to prepare a study, due no later than April 30, 2006, on the efforts of the private sector to implement the Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System (Sound Practices Paper). As directed in the legislation, this report discusses the efforts of private sector financial services firms covered by the Sound Practices Paper to implement enhanced business continuity plans, and the extent to which implementation has been done in a geographically dispersed manner. This report also addresses the agenciesí views whether the Sound Practices Paper should be expanded to a larger range of private sector financial services firms that play significant roles in critical financial markets and whether legislative and regulatory changes are needed to expedite implementation by affected firms and optimize business continuity planning by the financial services industry.