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Securities regulation (11 - 20 of 138 items)

Securities and Exchange Commission

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R, Feb 26, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-349T, Feb 4, 2009

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System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

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System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

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-216, Jan 8, 2009

Securities and Exchange Commission

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33, Nov 15, 2007

Securities and Exchange Commission

Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830, Aug 15, 2007

Securities and Exchange Commission

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053, Aug 14, 2007

Credit Derivatives

Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
GAO-07-716, Jun 13, 2007

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