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Securities regulation (31 - 40 of 218 items)

Securities and Exchange Commission:

Securities and Exchange Commission:

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.

Credit Derivatives:

Financial Market Preparedness:

Significant Progress Has Been Made, but Pandemic Planning and Other Challenges Remain
Published: Mar 29, 2007. Publicly Released: Apr 30, 2007.

Financial Product Sales:

Actions Needed to Protect Military Members
Published: Nov 17, 2005. Publicly Released: Nov 17, 2005.

SEC and CFTC Penalties:

Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
Published: Aug 31, 2005. Publicly Released: Oct 3, 2005.

Mutual Fund Industry:

SEC's Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
Published: Aug 17, 2005. Publicly Released: Sep 19, 2005.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

Mutual Fund Trading Abuses:

Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.

Financial Market Preparedness:

Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters
Published: Sep 27, 2004. Publicly Released: Oct 27, 2004.