Reports and Testimonies - Browse by topic

Browse By:
 
Sort by Results per page Search within "Securities regulation"

Securities regulation (11 - 20 of 139 items)

Hedge Funds:

Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
GAO-09-677T:
Published: May 7, 2009. Publicly Released: May 7, 2009.

Management Report:

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R:
Published: Apr 2, 2009. Publicly Released: Apr 2, 2009.

Securities and Exchange Commission:

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R:
Published: Feb 26, 2009. Publicly Released: Mar 26, 2009.

Financial Regulation:

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A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System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A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System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.

Securities and Exchange Commission:

Securities and Exchange Commission:

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053:
Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.