Commodities exchanges (1 - 10 of 44 items)
Financial Regulation: Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410: Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Securities Regulation: Improvements Needed in the Amex Listing Program
GAO-02-18: Published: Nov 27, 2001. Publicly Released: Dec 20, 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 and Exchange Commission: Reviews of Accounting Matters Related to Public Filings
GAO-01-718: Published: Jun 14, 2001. Publicly Released: Jun 14, 2001.
Commodity Exchange Act: Issues Related to the Regulation of Electronic Trading Systems
GGD-00-99: Published: May 5, 2000. Publicly Released: May 5, 2000.
Financial Regulatory Coordination: The Role and Functioning of the President's Working Group
GGD-00-46: Published: Jan 21, 2000. Publicly Released: Feb 24, 2000.
Money Penalties: Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8: Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.
Securities Market Operations: The Effects of SOES on the Nasdaq Market
GGD-98-194: Published: Aug 31, 1998. Publicly Released: Aug 31, 1998.
CFTC Enforcement: Actions Taken to Strengthen the Division of Enforcement
GGD-98-193: Published: Aug 28, 1998. Publicly Released: Aug 28, 1998.
Financial Institutions and Markets Issue Area: Active Assignments
AA-98-6(2): Published: May 1, 1998. Publicly Released: May 1, 1998.