Securities regulation (1 - 10 of 219 items)
Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA
GAO-15-376: Published: Apr 30, 2015. Publicly Released: Apr 30, 2015.
International Financial Reforms: U.S. and Other Jurisdictions' Efforts to Develop and Implement Reforms
GAO-14-261: Published: Apr 3, 2014. Publicly Released: Apr 3, 2014.
Financial Audit: Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
GAO-14-213R: Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Securities and Exchange Commission: Alternative Criteria for Qualifying As An Accredited Investor Should Be Considered
GAO-13-640: Published: Jul 18, 2013. Publicly Released: Jul 18, 2013.
Investment Advisers: Requirements and Costs Associated with the Custody Rule
GAO-13-569: Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.
Dodd-Frank Act: Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101: Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.
Dodd-Frank Act Regulations: Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151: Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
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.
Mutual Fund Advertising: Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors
GAO-11-697: Published: Jul 26, 2011. Publicly Released: Jul 26, 2011.
Securities Fraud Liability of Secondary Actors
GAO-11-664: Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.