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Internal controls (1 - 10 of 44 items)

Financial Markets and Institutions

Securities Fraud Liability of Secondary Actors
GAO-11-664, Jul 21, 2011

Securities and Exchange Commission

Information on Fair Fund Collections and Distributions
GAO-10-448R, Apr 22, 2010

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Management Report

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R, Apr 2, 2009

Securities and Exchange Commission

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R, Feb 26, 2009

Financial Regulation

Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
GAO-09-499T, Mar 19, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

Hedge Funds

Regulators and Market Participants Are Taking Steps to Strengthen Market Discipline, but Continued Attention Is Needed
GAO-08-200, Jan 24, 2008

Securities and Exchange Commission

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33, Nov 15, 2007

Financial Regulation

Industry Trends Continue to Challenge the Federal Regulatory Structure
GAO-08-32, Oct 12, 2007

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