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Stock exchanges (1 - 10 of 45 items) in Custom Date Range

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

Regulation SHO

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

Securities and Exchange Commission

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R, Feb 26, 2009

Securities Markets

Decimal Pricing has Contributed to Lower Trading Costs and a More Challenging Trading Environment
GAO-05-535, May 31, 2005

Securities Markets

Preliminary Observations on the Use of Subpenny Pricing
GAO-04-968T, Jul 22, 2004

Securities Markets

Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight
GAO-04-75, Apr 8, 2004

Securities Markets

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

Securities Regulation

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

Securities Pricing

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

Securities Arbitration

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

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