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Securities regulation (31 - 40 of 214 items)

Financial Product Sales

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

SEC and CFTC Penalties

Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
GAO-05-670, Aug 31, 2005

Mutual Fund Industry

SEC's Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
GAO-05-415, Aug 17, 2005

SEC Mutual Fund Oversight

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

Mutual Fund Trading Abuses

Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
GAO-05-313, Apr 20, 2005

Financial Market Preparedness

Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters
GAO-04-984, Sep 27, 2004

Financial Markets and Institutions

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R, Jul 9, 2004

Securities Investor Protection

Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811, Jul 11, 2003

SEC Enforcement

More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771, Jul 12, 2002

Securities Markets

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

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