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Regulatory agencies (11 - 20 of 43 items)

Financial Regulation:

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-314T:
Published: Jan 21, 2009. Publicly Released: Jan 21, 2009.

Financial Regulation:

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-310T:
Published: Jan 14, 2009. Publicly Released: Jan 14, 2009.

Financial Regulation:

Securities and Exchange Commission:

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33:
Published: Nov 15, 2007. Publicly Released: Dec 17, 2007.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T:
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

Financial Markets and Institutions:

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R:
Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.

Financial Markets and Institutions:

Better Information Sharing Among Financial Services Regulators Could Improve Protections for Consumers
GAO-04-882R:
Published: Jun 29, 2004. Publicly Released: Jul 29, 2004.

SEC Operations:

Implications of Alternative Funding Structures
GAO-02-864:
Published: Jul 16, 2002. Publicly Released: Jul 16, 2002.

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.

Auditing and Financial Management:

Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R:
Published: Aug 15, 2000. Publicly Released: Sep 13, 2000.