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Securities regulation (1 - 10 of 139 items) in Custom Date Range

Financial Audit:

Investment Advisers:

Requirements and Costs Associated with the Custody Rule
GAO-13-569:
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.

Financial Crisis:

Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616:
Published: Sep 30, 2011. Publicly Released: Oct 31, 2011.

Financial Markets and Institutions:

Securities Fraud Liability of Secondary Actors
GAO-11-664:
Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.

Private Fund Advisers:

Person-To-Person Lending:

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613:
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.

Financial Regulation:

Securities and Exchange Commission:

Information on Fair Fund Collections and Distributions
GAO-10-448R:
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.

Financial Regulation:

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T:
Published: Sep 29, 2009. Publicly Released: Sep 29, 2009.

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483:
Published: May 12, 2009. Publicly Released: Jun 3, 2009.