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SEC Special Studies Archive: 1996

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
Jul. 24, 1996 Report of the Advisory Committee on the Capital Formation and Regulatory Processes
To access report by sections, click here
Jul. 8, 1996 Summary of Comments and Discussion Regarding Protections for Senior Citizens and Qualified Retirement Plans
This study consists of a summary and discussion of comments received from the public concerning the role of senior citizens and retirement plans in the securities markets; recent Commission initiatives in this area; and selected Commission enforcement actions.
Mar. 1996 The Joint Regulatory Sales Practice Sweep Report
A review of the sales practice activities of selected registered representatives and the hiring, retention, and supervisory practices of the brokerage firms employing them.
To access report by sections, click here
Mar. 5, 1996 Report of the Task Force on Disclosure Simplification
The Task Force on Disclosure Simplification, after a review of rules and forms that generally impose costs on capital formation, developed 140 recommendations to streamline and simplify rules and forms in a manner consistent with investor protection.
smpl.txt; or click here to access HTML version and graphics)

Modified: 04/28/2009