Securities Regulation: Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53
Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.
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Highlights
Pursuant to a congressional request, GAO reviewed whether the Securities and Exchange Commission (SEC) and Nasdaq Stock Market, Inc. have implemented the recommendations from a previous GAO report, focusing on the status of Nasdaq's: (1) response to recommendations SEC made as part of its oversight of Nasdaq's Listing Qualifications Department (NLQ); and (2) new automated Risk Scoring Compliance System (RSCS).
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Brokerage industryFinancial analysisManagement information systemsPerformance measuresSecurities fraudSecurities regulationSelf-regulatory organizationsStock exchangesStocks (securities)Automated risk assessment