Reporting requirements (51 - 52 of 52 items)
SEC's Efforts To Find Lost and Stolen Securities
GGD-84-42: Published: May 18, 1984. Publicly Released: May 18, 1984.
The Securities and Exchange Commission (SEC) maintains a program to find securities, such as stocks and bonds, that financial institutions and their customers report as lost or missing. GAO reviewed the SEC program to determine its effectiveness in finding such securities.SEC requires financial institutions to register under the program. Registration entitles institutions to report lost or stolen...
Opportunities for Improving the Quality and Efficiency of the Securities and Exchange Commission's Process for Reviewing Reports
FGMSD-80-81: Published: Sep 2, 1980. Publicly Released: Sep 2, 1980.
A review was undertaken of the administrative procedures used by the Securities and Exchange Commission (SEC) in examining company reports to determine whether they comply with Federal legislation requiring them to send periodic financial disclosure reports to SEC.While the number of statements and reports filed with SEC has increased dramatically over the last 10 years, the number of people revie...