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Brokerage industry (1 - 10 of 44 items) in Custom Date Range

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483:
Published: May 12, 2009. Publicly Released: Jun 3, 2009.

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.

Justice and Law Enforcement:

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.

Justice and Law Enforcement:

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.