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.
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.
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.