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Securities regulation (1 - 10 of 138 items) in Custom Date Range

Financial Crisis

Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616, Sep 30, 2011

Financial Markets and Institutions

Securities Fraud Liability of Secondary Actors
GAO-11-664, Jul 21, 2011

Private Fund Advisers

Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623, Jul 11, 2011

Person-To-Person Lending

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613, Jul 7, 2011

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

Securities and Exchange Commission

Information on Fair Fund Collections and Distributions
GAO-10-448R, Apr 22, 2010

Financial Regulation

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

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Hedge Funds

Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
GAO-09-677T, May 7, 2009

Management Report

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R, Apr 2, 2009

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