Commodities exchanges (41 - 44 of 44 items)
After Black Monday: An Interview With Robert R. Glauber
136523: Jan 1, 1988
This article, which appeared in the GAO Journal, No. 2, Summer 1988, presents a round-table discussion of the findings and recommendations of the Presidential Task Force on Market Mechanisms, established in the wake of the unprecedented drop in the stock market on October 19, 1987. The discussion focused on: (1) the involvement of the Federal Reserve System, Department of the Treasury, and Securit...
Securities Regulation: Securities and Exchange Commission Oversight of Self-Regulation
GGD-86-83: Published: Sep 30, 1986. Publicly Released: Oct 2, 1986.
In response to a congressional request, GAO examined the Securities and Exchange Commission's (SEC) oversight of securities industry self-regulatory organizations (SRO), such as stock exchanges.In its evaluations of SRO examinations of dealer/broker compliance with securities regulations, SEC found hundreds of dealer/broker violations that SRO missed. Although SEC did not consistently disclose the...
Securities and Futures: How the Markets Developed and How They Are Regulated
GGD-86-26: Published: May 15, 1986. Publicly Released: May 15, 1986.
Pursuant to a congressional request, GAO studied the securities industry oversight process, focusing on: (1) the history of securities and futures trading; (2) the detailed operations of the securities and futures markets; and (3) the self-regulatory organizations that govern the two markets.GAO noted that: (1) competitive changes in the securities and futures exchange industries have resulted fro...
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...