Reports and Testimonies - Browse by topic
Securities regulation (1 - 10 of 41 items)
Agencies' Efforts to Analyze and Coordinate Their Rules
Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.
Dodd-Frank Act Regulations:
Implementation Could Benefit from Additional Analyses and Coordination
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
Published: Jul 13, 2011. Publicly Released: Jul 13, 2011.
New Regulatory Challenges Could Emerge as the Industry Grows
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.
Modified Prompt Corrective Action Framework Would Improve Effectiveness
Published: Jun 23, 2011. Publicly Released: Jun 23, 2011.
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.
Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
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
Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.