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Mutual Funds: SEC Adjusted Its Oversight in Response to Rapid Industry Growth

GGD-97-67 Published: May 28, 1997. Publicly Released: May 28, 1997.
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Highlights

GAO reviewed the Securities and Exchange Commission's (SEC) regulation and oversight of open-end investment companies, focusing on how SEC has responded to rapid industry growth in carrying out its mutual fund oversight through inspections, disclosure review, and other regulatory activities.

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Information disclosureInspectionInvestmentsMutual fundsRegulatory agenciesSecurities regulationStocks (securities)Investment advisersSecuritiesInvestment companies