Reports and Testimonies - Browse by topic
Securities (1 - 10 of 43 items)
Community Banks and Credit Unions:
Impact of the Dodd-Frank Act Depends Largely on Future Rule Makings
Published: Sep 13, 2012. Publicly Released: Sep 13, 2012.
Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
Published: Jan 12, 2012. Publicly Released: Jan 12, 2012.
Risk Management and Cost Modeling Require Continuing Attention
Published: Nov 14, 2011. Publicly Released: Dec 1, 2011.
New Regulatory Challenges Could Emerge as the Industry Grows
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.
Securities and Exchange Commission:
Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
Published: Sep 22, 2010. Publicly Released: Sep 22, 2010.
Defined Benefit Pension Plans:
Plans Face Valuation and Other Challenges When Investing in Hedge Funds and Private Equity
Published: Jul 20, 2010. Publicly Released: Jul 20, 2010.
Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
Published: Sep 29, 2009. Publicly Released: Sep 29, 2009.
Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.
A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
Published: Feb 4, 2009. Publicly Released: Feb 4, 2009.