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Securities regulation (1 - 10 of 218 items) in Custom Date Range

International Financial Reforms:

U.S. and Other Jurisdictions' Efforts to Develop and Implement Reforms
GAO-14-261:
Published: Apr 3, 2014. Publicly Released: Apr 3, 2014.

Financial Audit:

Securities and Exchange Commission:

Alternative Criteria for Qualifying As An Accredited Investor Should Be Considered
GAO-13-640:
Published: Jul 18, 2013. Publicly Released: Jul 18, 2013.

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.

Financial Crisis:

Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616:
Published: Sep 30, 2011. Publicly Released: Oct 31, 2011.

Mutual Fund Advertising:

Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors
GAO-11-697:
Published: Jul 26, 2011. Publicly Released: Jul 26, 2011.

Financial Markets and Institutions:

Securities Fraud Liability of Secondary Actors
GAO-11-664:
Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.

Proprietary Trading: