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Securities regulation (1 - 10 of 41 items)

Dodd-Frank Act

Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101, Dec 18, 2012

Dodd-Frank Act Regulations

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151, Nov 10, 2011

Proprietary Trading

Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
GAO-11-529, Jul 13, 2011

Person-To-Person Lending

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613, Jul 7, 2011

Bank Regulation

Modified Prompt Corrective Action Framework Would Improve Effectiveness
GAO-11-612, Jun 23, 2011

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

Financial Regulation

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T, Sep 29, 2009

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Financial Regulation

Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
GAO-09-499T, Mar 19, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

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