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Reporting requirements (1 - 10 of 35 items)

Financial Audit:

Investment Advisers:

Requirements and Costs Associated with the Custody Rule
GAO-13-569:
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.

Dodd-Frank Act:

Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101:
Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.

Dodd-Frank Act Regulations:

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151:
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.

Private Fund Advisers:

Financial Regulation:

Management Report:

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

Bank Secrecy Act:

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227:
Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.

Financial Regulation:

Industry Trends Continue to Challenge the Federal Regulatory Structure
GAO-08-32:
Published: Oct 12, 2007. Publicly Released: Oct 12, 2007.

Lost Security Holders:

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978:
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.