Securities (81 - 90 of 326 items) in Custom Date Range
Securities Operations: Update on Actions Taken to Address Day Trading Concerns
GAO-02-20: Published: Nov 27, 2001. Publicly Released: Jan 8, 2002.
Securities Regulation: Improvements Needed in the Amex Listing Program
GAO-02-18: Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
Lost Security Holders: SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978: Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.
Regulatory Initiatives of the National Association of Insurance Commissioners
GAO-01-885R: Published: Jul 6, 2001. Publicly Released: Aug 6, 2001.
SEC and CFTC: Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900: Published: Jul 13, 2001. Publicly Released: Jul 30, 2001.
Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653: Published: May 25, 2001. Publicly Released: Jun 21, 2001.
Securities and Exchange Commission: Reviews of Accounting Matters Related to Public Filings
GAO-01-718: Published: Jun 14, 2001. Publicly Released: Jun 14, 2001.
Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R: Published: Apr 27, 2001. Publicly Released: May 8, 2001.
Financial Services Regulators: Better Information Sharing Could Reduce Fraud
GAO-01-478T: Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319: Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.