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Securities regulation (21 - 30 of 138 items)

Financial Product Sales

Actions Needed to Protect Military Members
GAO-06-245T, Nov 17, 2005

SEC Mutual Fund Oversight

Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T, Jun 7, 2005

Financial Markets and Institutions

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R, Jul 9, 2004

Securities Investor Protection

Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811, Jul 11, 2003

SEC Enforcement

More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771, Jul 12, 2002

Securities Markets

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362, May 3, 2002

Securities Operations

Update on Actions Taken to Address Day Trading Concerns
GAO-02-20, Nov 27, 2001

Securities Regulation

Improvements Needed in the Amex Listing Program
GAO-02-18, Nov 27, 2001

Lost Security Holders

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978, Sep 28, 2001

SEC and CFTC

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900, Jul 13, 2001
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