SEC Special Studies Archive: 1999
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:
2007-Onward | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994
||Online Brokerage: Keeping Apace of Cyberspace
Report by Commissioner Laura S. Unger on the subject of technology and and its impact on retail brokerage. Consists of an overview of the issues on-line brokerage raise for investors and the Commission and explores how on-line brokerage impacts the Commission's traditional regulatory scheme. Discusses findings from three roundtables conducted with participants from full-service and discount, on-line and off-line brokerage industry representatives, securities practitioners, academics, regulators, market participants, and investors and makes certain recommendations to the Commission. Topics discussed at the roundtable and covered in the Report include industry trends, suitability, best execution, market data, systems capacity, investor education, chat rooms privacy and portals.
Full report, with Executive Summary and Appendices, in PDF format: cybrtrnd.pdf
||Municipal Securities Cases and Materials
This compilation was prepared by the Office of Municipal Securities. It contains the full text of certain Commission orders/opinions, administrative law judge decisions, litigation releases, and 21(a) reports, as well as federal court decisions, involving participants in municipal securities transactions up through April 21, 1999. In some instances, the document is a determination of fact and law following a hearing; in others, findings made by the Commission in a settled proceeding in which the named party has neither admitted nor denied the findings, but consented to entry of the order. In still other instances, such as a complaint, the document may consist of allegations. This compilation organizes enforcement actions by relevant participants to municipal securities transactions or topics. While this compilation provides an extensive review of Commission activity in the municipal securities market, it does not purport to be exhaustive.
||Broker-Dealer Risk Management Practices Joint Statement
Issued by the examination staffs of the Securities and Exchange Commission, the New York Stock Exchange, and NASD Regulation, Inc., this statement provides examples of material weaknesses in the policies and practices employed by certain broker-dealers to manage risk and examples of sound practices that were noted during on-site examinations of broker-dealers' risk management practices conducted over the past several years.
||Third 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 Commission's position on issuer disclosure obligations, analysis of Year 2000 disclosure to date, and actions that the Commission and its staff are taking to address the Year 2000 problem.
|Apr. 30, 1999
||Report on Administrative Proceedings for October 1, 1998 through March 31, 1999
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.
3441352.txt [explanatory material only]; apst99-1.pdf [report, in PDF format])