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Securities regulation (31 - 40 of 138 items)

Securities Investor Protection

Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653, May 25, 2001

Securities and Exchange Commission

Reviews of Accounting Matters Related to Public Filings
GAO-01-718, Jun 14, 2001

Justice and Law Enforcement

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R, Apr 27, 2001

Financial Services Regulators

Better Information Sharing Could Reduce Fraud
GAO-01-478T, Mar 6, 2001

Securities Pricing

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319, Sep 20, 2000

Securities and Exchange Commission

Unlisted Trading Privileges
OGC-00-66, Sep 19, 2000

Auditing and Financial Management

Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R, Aug 15, 2000

Securities and Exchange Commission

Selective Disclosure and Insider Trading
OGC-00-61, Sep 7, 2000

Securities Arbitration

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115, Jun 15, 2000

Securities Pricing

Progress and Challenges in Converting to Decimals
T-GGD-00-96, Mar 1, 2000
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