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Securities (11 - 20 of 324 items)

Securities Research

Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
GAO-12-209, Jan 12, 2012

Ginnie Mae

Risk Management and Cost Modeling Require Continuing Attention
GAO-12-49, Nov 14, 2011

Financial Crisis

Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616, Sep 30, 2011

Federal Reserve System

Opportunities Exist to Strengthen Policies and Processes for Managing Emergency Assistance
GAO-12-122T, Oct 4, 2011

Financial Markets and Institutions

Securities Fraud Liability of Secondary Actors
GAO-11-664, Jul 21, 2011

Troubled Asset Relief Program

The Government's Exposure to AIG Following the Company's Recapitalization
GAO-11-716, Jul 18, 2011

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

Person-To-Person Lending

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

Troubled Asset Relief Program

Status of Programs and Implementation of GAO Recommendations
GAO-11-476T, Mar 17, 2011

401(K) Plans

Improved Regulation Could Better Protect Participants from Conflicts of Interest
GAO-11-119, Jan 28, 2011

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