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Securities regulation (1 - 10 of 214 items)

Dodd-Frank Act

Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101, Dec 18, 2012

Dodd-Frank Act Regulations

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151, Nov 10, 2011

Financial Crisis

Review of Federal Reserve System Financial Assistance to American International Group, Inc.
GAO-11-616, Sep 30, 2011

Mutual Fund Advertising

Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors
GAO-11-697, Jul 26, 2011

Financial Markets and Institutions

Securities Fraud Liability of Secondary Actors
GAO-11-664, Jul 21, 2011

Proprietary Trading

Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
GAO-11-529, Jul 13, 2011

Private Fund Advisers

Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623, Jul 11, 2011

Person-To-Person Lending

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613, Jul 7, 2011

Bank Regulation

Modified Prompt Corrective Action Framework Would Improve Effectiveness
GAO-11-612, Jun 23, 2011

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

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