Securities (1 - 10 of 71 items)
Securities and Exchange Commission: Management Has Enhanced Supervisory Controls and Could Further Improve Efficiency
GAO-17-16: Published: Oct 6, 2016. Publicly Released: Oct 6, 2016.
Financial Audit: Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
GAO-14-213R: Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Investment Advisers: Requirements and Costs Associated with the Custody Rule
GAO-13-569: Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.
Financial Audit: Federal Deposit Insurance Corporation Funds' 2011 and 2010 Financial Statements
GAO-12-416: Published: Apr 19, 2012. Publicly Released: Apr 19, 2012.
Ginnie Mae: Risk Management and Cost Modeling Require Continuing Attention
GAO-12-49: Published: Nov 14, 2011. Publicly Released: Dec 1, 2011.
Securities Fraud Liability of Secondary Actors
GAO-11-664: Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.
Troubled Asset Relief Program: Status of Programs and Implementation of GAO Recommendations
GAO-11-476T: Published: Mar 17, 2011. Publicly Released: Mar 17, 2011.
Securities and Exchange Commission: Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
GAO-10-782: Published: Sep 22, 2010. Publicly Released: Sep 22, 2010.
Defined Benefit Pension Plans: Plans Face Valuation and Other Challenges When Investing in Hedge Funds and Private Equity
GAO-10-915T: Published: Jul 20, 2010. Publicly Released: Jul 20, 2010.
Securities and Exchange Commission: Information on Fair Fund Collections and Distributions
GAO-10-448R: Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.