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SEC Special Studies Archive: 1995

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
Jun. 20, 1995 The Regulation of Public-Utility Holding Companies
Prepared by the Commission's Division of Investment Management, this report describes how significant changes are needed in the current regulatory system of public utility holding companies.
Apr. 10, 1995 Report On Broker-Dealer Compensation
Produced by a broad-based Committee on Compensation Practices headed by Merrill Lynch Chairman Daniel P. Tully, to review industry compensation practices for registered representatives and branch managers, to identify actual and perceived conflicts of interest for these parties and to identify the "best practices" used in the industry to eliminate, reduce or mitigate these conflicts.

Modified: 04/28/2009