Brokerage industry (1 - 10 of 43 items)
International Marriage Broker Regulation Act of 2005: Agencies Have Implemented Some, but Not All of the Act's Requirements
GAO-08-862: Published: Aug 8, 2008. Publicly Released: Aug 8, 2008.
Initial Results on Availability of Terrorism Insurance in Specific Geographic Markets
GAO-08-919R: Published: Jul 11, 2008. Publicly Released: Jul 11, 2008.
SEC Mutual Fund Oversight: Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T: Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Mutual Funds: Additional Disclosures Could Increase Transparency of Fees and Other Practices
GAO-03-909T: Published: Jun 18, 2003. Publicly Released: Jun 18, 2003.
Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362: Published: May 3, 2002. Publicly Released: May 3, 2002.
Anti-Money Laundering: Efforts in the Securities Industry
GAO-02-111: Published: Oct 10, 2001. Publicly Released: Oct 24, 2001.
On-Line Trading: Investor Protections Have Improved but Continued Attention Is Needed
GAO-01-858: Published: Jul 20, 2001. Publicly Released: Aug 6, 2001.
Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R: Published: Apr 27, 2001. Publicly Released: May 8, 2001.
Money Laundering: Oversight of Suspicious Activity Reporting at Bank-Affiliated Broker-Dealers Ceased
GAO-01-474: Published: Mar 22, 2001. Publicly Released: Apr 19, 2001.
Mutual Fund Fees: Additional Disclosure Could Encourage Price Competition
GGD-00-126: Published: Jun 7, 2000. Publicly Released: Jul 5, 2000.