Securities regulation (41 - 50 of 219 items)
Financial Market Preparedness: Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters
GAO-04-984: Published: Sep 27, 2004. Publicly Released: Oct 27, 2004.
Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R: Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.
Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811: Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
SEC Enforcement: More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771: Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362: Published: May 3, 2002. Publicly Released: May 3, 2002.
Securities Operations: Update on Actions Taken to Address Day Trading Concerns
GAO-02-20: Published: Nov 27, 2001. Publicly Released: Jan 8, 2002.
Securities Regulation: Improvements Needed in the Amex Listing Program
GAO-02-18: Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
Lost Security Holders: SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978: Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.
SEC and CFTC: Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900: Published: Jul 13, 2001. Publicly Released: Jul 30, 2001.
Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653: Published: May 25, 2001. Publicly Released: Jun 21, 2001.