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Brokerage industry (1 - 10 of 82 items)

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

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

Securities Markets

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

Lost Security Holders

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

Securities Investor Protection

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

Justice and Law Enforcement

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

Securities Pricing

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

Mutual Fund Fees

Additional Disclosure Could Encourage Price Competition
GGD-00-126, Jun 7, 2000

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