Securities (71 - 80 of 328 items)
Bank Tying: Additional Steps Needed to Ensure Effective Enforcement of Tying Prohibitions
GAO-04-4: Published: Oct 10, 2003. Publicly Released: Oct 20, 2003.
Farmer Mac: Some Progress Made, but Greater Attention to Risk Management, Mission, and Corporate Governance Is Needed
GAO-04-116: Published: Oct 16, 2003. Publicly Released: Oct 16, 2003.
SEC and CFTC Fines Follow-Up: Collection Programs Are Improving, but Further Steps Are Warranted
GAO-03-795: Published: Jul 15, 2003. Publicly Released: Aug 14, 2003.
Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811: Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
Public Accounting Firms: Mandated Study on Consolidation and Competition
GAO-03-864: Published: Jul 30, 2003. Publicly Released: Jul 30, 2003.
Follow-up Report on Matters Relating to Securities Arbitration
GAO-03-162R: Published: Apr 11, 2003. Publicly Released: May 13, 2003.
Financial Statement Restatements: Trends, Market Impacts, Regulatory Responses, and Remaining Challenges
GAO-03-138: Published: Oct 4, 2002. Publicly Released: Oct 23, 2002.
Information on Federal Contractors That Are Incorporated Offshore
GAO-03-194R: Published: Oct 1, 2002. Publicly Released: Oct 1, 2002.
SEC Enforcement: More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771: Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
SEC Operations: Implications of Alternative Funding Structures
GAO-02-864: Published: Jul 16, 2002. Publicly Released: Jul 16, 2002.