Securities (1 - 10 of 52 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.
Private Fund Advisers: Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623: Published: Jul 11, 2011. Publicly Released: Jul 11, 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.
Financial Regulation: Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410: Published: Apr 22, 2010. Publicly Released: 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: Published: Feb 5, 2010. Publicly Released: Feb 5, 2010.
Management Report: Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R: Published: Apr 2, 2009. Publicly Released: Apr 2, 2009.
Troubled Asset Relief Program: Status of Efforts to Address Transparency and Accountability Issues
GAO-09-484T: Published: Mar 19, 2009. Publicly Released: Mar 19, 2009.
Information Security: Securities and Exchange Commission Needs to Consistently Implement Effective Controls
GAO-09-203: Published: Mar 16, 2009. Publicly Released: Mar 16, 2009.