Securities (11 - 20 of 325 items)
Credit Rating Agencies: Alternative Compensation Models for Nationally Recognized Statistical Rating Organizations
GAO-12-240: Published: Jan 18, 2012. Publicly Released: Jan 18, 2012.
Dodd-Frank Act: Hybrid Capital Instruments and Small Institution Access to Capital
GAO-12-237: Published: Jan 18, 2012. Publicly Released: Jan 18, 2012.
Securities Research: Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
GAO-12-209: Published: Jan 12, 2012. Publicly Released: Jan 12, 2012.
Ginnie Mae: Risk Management and Cost Modeling Require Continuing Attention
GAO-12-49: Published: Nov 14, 2011. Publicly Released: Dec 1, 2011.
Financial Crisis: Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616: Published: Sep 30, 2011. Publicly Released: Oct 31, 2011.
Federal Reserve System: Opportunities Exist to Strengthen Policies and Processes for Managing Emergency Assistance
GAO-12-122T: Published: Oct 4, 2011. Publicly Released: Oct 4, 2011.
Securities Fraud Liability of Secondary Actors
GAO-11-664: Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.
Troubled Asset Relief Program: The Government's Exposure to AIG Following the Company's Recapitalization
GAO-11-716: Published: Jul 18, 2011. Publicly Released: Jul 18, 2011.
Private Fund Advisers: Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623: Published: Jul 11, 2011. Publicly Released: Jul 11, 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.