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Securities (1 - 10 of 49 items)

Private Fund Advisers

Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623, Jul 11, 2011

Securities and Exchange Commission

Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
GAO-10-782, Sep 22, 2010

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

Troubled Asset Relief Program

Treasury Needs to Strengthen Its Decision-Making Process on the Term Asset-Backed Securities Loan Facility
GAO-10-25, Feb 5, 2010

Management Report

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R, Apr 2, 2009

Troubled Asset Relief Program

Status of Efforts to Address Transparency and Accountability Issues
GAO-09-484T, 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

Sovereign Wealth Funds

Publicly Available Data on Sizes and Investments for Some Funds Are Limited
GAO-08-946, Sep 9, 2008

Financial Audit

Federal Deposit Insurance Corporation Funds' 2006 and 2005 Financial Statements
GAO-07-371, Feb 13, 2007

Financial Audit

Federal Deposit Insurance Corporation Funds' 2005 and 2004 Financial Statements
GAO-06-146, Mar 2, 2006

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