Brokerage industry (1 - 10 of 68 items)
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.
Securities Regulation: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority
GAO-12-625: Published: May 30, 2012. Publicly Released: May 30, 2012.
401(K) Plans: Improved Regulation Could Better Protect Participants from Conflicts of Interest
GAO-11-119: Published: Jan 28, 2011. Publicly Released: Feb 28, 2011.
Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483: Published: May 12, 2009. Publicly Released: Jun 3, 2009.
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.
SEC Mutual Fund Oversight: Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T: Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Securities Markets: Preliminary Observations on the Use of Subpenny Pricing
GAO-04-968T: Published: Jul 22, 2004. Publicly Released: Jul 22, 2004.
Follow-up Report on Matters Relating to Securities Arbitration
GAO-03-162R: Published: Apr 11, 2003. Publicly Released: May 13, 2003.
Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362: Published: May 3, 2002. Publicly Released: May 3, 2002.
Lost Security Holders: SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978: Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.