Securities regulation (1 - 10 of 41 items)
Dodd-Frank Act: Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101: Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.
Dodd-Frank Act Regulations: Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151: Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
Proprietary Trading: Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
GAO-11-529: Published: Jul 13, 2011. Publicly Released: Jul 13, 2011.
Person-To-Person Lending: New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613: Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.
Bank Regulation: Modified Prompt Corrective Action Framework Would Improve Effectiveness
GAO-11-612: Published: Jun 23, 2011. Publicly Released: Jun 23, 2011.
Financial Regulation: Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410: Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Financial Regulation: Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T: Published: Sep 29, 2009. Publicly Released: Sep 29, 2009.
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.
Financial Regulation: Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
GAO-09-499T: Published: Mar 19, 2009. Publicly Released: Mar 19, 2009.
Bank Secrecy Act: Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227: Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.