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SEC Special Studies Archive: 1997

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. 11, 1997 Report on the Uniformity of State Regulatory Requirements for Offerings of Securities That Are Not “Covered Securities” Pursuant to Section 102(b) of the National Securities Markets Improvement Act of 1996
NSMIA, in Section 102(b), requires the U.S. Securities and Exchange Commission to "conduct a study, after consultation with the states, issuers, brokers, and dealers, on the extent to which uniformity of state regulatory requirements for securities or securities transactions has been achieved for securities that are not covered securities..." (the "Uniformity Study"). This report is submitted in response to this requirement.
Sep. 1997 Pursuant to Section 509(5) of the National Securities Markets Improvement Act of 1996: Report on Promoting Global Preeminence of American Securities Markets
Section 509 requires the Commission to report to the Congress on progress in the development of international accounting standards and the outlook for successful completion of a set of international standards that would be acceptable to the Commission for offerings and listings by foreign corporations in U.S. markets. This report is submitted in response to this requirement.
Sep. 1997 Report to the Congress: The Impact of Recent Technological Advances on the Securities Markets
This report discusses the impact of recent technological advances on the securities markets, how these advances have changed the way the markets operate, and steps the Commission has taken to address these changes. The report also discusses the effect of recent technological advances on enforcement of the federal securities laws.
Sep. 1997 Report to the Congress on Section 107 of the National Securities Markets Improvement Act of 1996: Privatization of EDGAR
Privatizing some or all of the EDGAR system has been seen as a possibility from the earliest days of design and development. The report outlines the issues surrounding privitization, looks at actions taken, and discusses future steps.
Jun. 1997 Report to the Congress 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 staff's findings as to the current state of readiness, their position with respect to corporate disclosure as it relates to the Year 2000 issue, actions they intend to continue to take to reduce the risk associated with the Year 2000 problem, and the staff's plans to meet future reporting requirements.
Apr. 16, 1997 Report to the President and Congress on the First Year of Practice Under the Private Securities Litigation Reform Act of 1995
A study of the impact of the Reform Act on the effectiveness of the securities laws and on investor protection, and on the extent and nature of any litigation under the Act.
Apr. 15, 1997 Report on the Practice of Preferencing
A study was conducted on the impact on investors and the national market system of the practice known as `preferencing' on one or more registered securities exchanges. It includes consideration of how preferencing impacts the execution prices received by retail securities customers whose orders are preferenced; the ability of retail securities customers in all markets to obtain executions of their limit orders in preferenced securities; and the cost of preferencing to retail securities customers.
Large (300 KB) file with numerous attachments.

Modified: 04/28/2009