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Commodities exchanges (1 - 10 of 44 items) in Custom Date Range

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

Securities Regulation

Improvements Needed in the Amex Listing Program
GAO-02-18, Nov 27, 2001

SEC and CFTC

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900, Jul 13, 2001

Securities and Exchange Commission

Reviews of Accounting Matters Related to Public Filings
GAO-01-718, Jun 14, 2001

Commodity Exchange Act

Issues Related to the Regulation of Electronic Trading Systems
GGD-00-99, May 5, 2000

Financial Regulatory Coordination

The Role and Functioning of the President's Working Group
GGD-00-46, Jan 21, 2000

Money Penalties

Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8, Nov 2, 1998

Securities Market Operations

The Effects of SOES on the Nasdaq Market
GGD-98-194, Aug 31, 1998

CFTC Enforcement

Actions Taken to Strengthen the Division of Enforcement
GGD-98-193, Aug 28, 1998

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(2), May 1, 1998
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