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Securities (81 - 90 of 325 items)

Securities Operations:

Update on Actions Taken to Address Day Trading Concerns
GAO-02-20:
Published: Nov 27, 2001. Publicly Released: Jan 8, 2002.

Securities Regulation:

Improvements Needed in the Amex Listing Program
GAO-02-18:
Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.

Lost Security Holders:

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978:
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.

Financial Markets and Institutions:

Regulatory Initiatives of the National Association of Insurance Commissioners
GAO-01-885R:
Published: Jul 6, 2001. Publicly Released: Aug 6, 2001.

SEC and CFTC:

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900:
Published: Jul 13, 2001. Publicly Released: Jul 30, 2001.

Securities Investor Protection:

Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653:
Published: May 25, 2001. Publicly Released: Jun 21, 2001.

Securities and Exchange Commission:

Reviews of Accounting Matters Related to Public Filings
GAO-01-718:
Published: Jun 14, 2001. Publicly Released: Jun 14, 2001.

Justice and Law Enforcement:

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R:
Published: Apr 27, 2001. Publicly Released: May 8, 2001.

Financial Services Regulators:

Better Information Sharing Could Reduce Fraud
GAO-01-478T:
Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319:
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.