Securities (51 - 60 of 326 items)
Sovereign Wealth Funds: Publicly Available Data on Sizes and Investments for Some Funds Are Limited
GAO-08-946: Published: Sep 9, 2008. Publicly Released: Oct 6, 2008.
Securities and Exchange Commission: Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33: Published: Nov 15, 2007. Publicly Released: Dec 17, 2007.
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830: Published: Aug 15, 2007. Publicly Released: Sep 17, 2007.
Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053: Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.
Corporate Shareholder Meetings: Issues Relating to Firms That Advise Institutional Investors on Proxy Voting
GAO-07-765: Published: Jun 29, 2007. Publicly Released: Jul 30, 2007.
Credit Derivatives: Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
GAO-07-716: Published: Jun 13, 2007. Publicly Released: Jul 13, 2007.
Financial Audit: Federal Deposit Insurance Corporation Funds' 2006 and 2005 Financial Statements
GAO-07-371: Published: Feb 13, 2007. Publicly Released: Feb 13, 2007.
Financial Audit: Federal Deposit Insurance Corporation Funds' 2005 and 2004 Financial Statements
GAO-06-146: Published: Mar 2, 2006. Publicly Released: Mar 2, 2006.
Financial Product Sales: Actions Needed to Protect Military Members
GAO-06-245T: Published: Nov 17, 2005. Publicly Released: Nov 17, 2005.
Securities Markets: Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
GAO-05-535: Published: May 31, 2005. Publicly Released: Jul 1, 2005.