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Securities (1 - 10 of 44 items)

Community Banks and Credit Unions

Impact of the Dodd-Frank Act Depends Largely on Future Rule Makings
GAO-12-881, Sep 13, 2012

Securities Research

Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
GAO-12-209, Jan 12, 2012

Ginnie Mae

Risk Management and Cost Modeling Require Continuing Attention
GAO-12-49, Nov 14, 2011

Person-To-Person Lending

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613, Jul 7, 2011

Securities and Exchange Commission

Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
GAO-10-782, Sep 22, 2010

Defined Benefit Pension Plans

Plans Face Valuation and Other Challenges When Investing in Hedge Funds and Private Equity
GAO-10-915T, Jul 20, 2010

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

Financial Regulation

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T, Sep 29, 2009

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

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