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Securities regulation (41 - 50 of 218 items)

Financial Markets and Institutions:

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R:
Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.

Securities Investor Protection:

Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811:
Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.

SEC Enforcement:

More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771:
Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.

Securities Markets:

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362:
Published: May 3, 2002. Publicly Released: May 3, 2002.

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.

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.