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Securities regulation (41 - 50 of 214 items)

Securities Operations

Update on Actions Taken to Address Day Trading Concerns
GAO-02-20, Nov 27, 2001

Securities Regulation

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

Lost Security Holders

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978, Sep 28, 2001

SEC and CFTC

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900, Jul 13, 2001

Securities Investor Protection

Steps Needed to Better Disclose SIPC Policies to Investors
GAO-01-653, May 25, 2001

Securities and Exchange Commission

Reviews of Accounting Matters Related to Public Filings
GAO-01-718, Jun 14, 2001

Justice and Law Enforcement

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R, Apr 27, 2001

Financial Services Regulators

Better Information Sharing Could Reduce Fraud
GAO-01-478T, Mar 6, 2001

Financial Markets and Institutions

Procedures for Updating Arbitrator Disclosure Information
GAO-01-162R, Nov 9, 2000

Securities Pricing

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