Brokerage industry (81 - 83 of 83 items)
Securities and Exchange Commission's Oversight of Securities Industry Self-Regulatory Organizations
129236: Mar 5, 1986
Testimony was given concerning the Securities and Exchange Commission's (SEC) oversight of self-regulatory organizations (SRO). GAO noted that SEC: (1) oversees the quality of SRO regulation by directly examining broker-dealers for compliance with various laws and regulations, inspecting SRO, and reviewing proposed changes to SRO regulations; and (2) is supposed to identify whether violations exis...
Regulation of the U.S. Government Securities Market
127376: Jul 9, 1985
Testimony was given concerning regulation of the U.S. Government securities market. GAO discussed: (1) issues concerning market instability and fraud; (2) the Treasury's unique role in debt management and monetary policy that already exist in the regulatory structure of the market; and (3) the present system of primary dealers and other aspects of market operations. GAO noted that, despite the reg...
Commodity Futures Trading Commission
117522: Feb 18, 1982
GAO conducted a major review of the Commodity Futures Trading Commission and found numerous improvements in the Commission's performance since its previous review in 1978. However, each of the key regulatory programs examined such as Registration, Surveillance, and Rule Enforcement Reviews, need to work better if rapidly expanding trading on the nation's commodity futures exchanges is to be free f...