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Brokerage industry (1 - 10 of 66 items) in Custom Date Range

401(K) Plans

Improved Regulation Could Better Protect Participants from Conflicts of Interest
GAO-11-119, Jan 28, 2011

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Securities Markets

Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
GAO-05-535, May 31, 2005

SEC Mutual Fund Oversight

Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T, Jun 7, 2005

Securities Markets

Preliminary Observations on the Use of Subpenny Pricing
GAO-04-968T, Jul 22, 2004

Financial Markets and Institutions

Follow-up Report on Matters Relating to Securities Arbitration
GAO-03-162R, Apr 11, 2003

Securities Markets

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362, May 3, 2002

Lost Security Holders

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978, Sep 28, 2001

Securities Investor Protection

Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653, May 25, 2001

Justice and Law Enforcement

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R, Apr 27, 2001
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