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Securities (51 - 60 of 324 items) in Custom Date Range

Securities and Exchange Commission

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33, Nov 15, 2007

Securities and Exchange Commission

Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830, Aug 15, 2007

Securities and Exchange Commission

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053, Aug 14, 2007

Corporate Shareholder Meetings

Issues Relating to Firms That Advise Institutional Investors on Proxy Voting
GAO-07-765, Jun 29, 2007

Credit Derivatives

Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
GAO-07-716, Jun 13, 2007

Financial Audit

Federal Deposit Insurance Corporation Funds' 2006 and 2005 Financial Statements
GAO-07-371, Feb 13, 2007

Financial Audit

Federal Deposit Insurance Corporation Funds' 2005 and 2004 Financial Statements
GAO-06-146, Mar 2, 2006

Financial Product Sales

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

Securities Markets

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

SEC Mutual Fund Oversight

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

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