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Securities regulation (31 - 40 of 139 items)

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.

Securities Investor Protection:

Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653:
Published: May 25, 2001. Publicly Released: Jun 21, 2001.

Securities and Exchange Commission:

Reviews of Accounting Matters Related to Public Filings
GAO-01-718:
Published: Jun 14, 2001. Publicly Released: Jun 14, 2001.

Justice and Law Enforcement:

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R:
Published: Apr 27, 2001. Publicly Released: May 8, 2001.

Financial Services Regulators:

Better Information Sharing Could Reduce Fraud
GAO-01-478T:
Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319:
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.

Securities and Exchange Commission:

Unlisted Trading Privileges
OGC-00-66:
Published: Sep 19, 2000. Publicly Released: Sep 19, 2000.

Auditing and Financial Management:

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

Securities and Exchange Commission:

Selective Disclosure and Insider Trading
OGC-00-61:
Published: Sep 7, 2000. Publicly Released: Sep 7, 2000.

Securities Arbitration:

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115:
Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.