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Financial institutions (1 - 10 of 78 items) in Custom Date Range

International Financial Reforms:

U.S. and Other Jurisdictions' Efforts to Develop and Implement Reforms
GAO-14-261:
Published: Apr 3, 2014. Publicly Released: Apr 3, 2014.

Dodd-Frank Act Regulations:

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151:
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.

Proprietary Trading:

Person-To-Person Lending:

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613:
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.

Financial Regulation:

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T:
Published: Sep 29, 2009. Publicly Released: Sep 29, 2009.

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483:
Published: May 12, 2009. Publicly Released: Jun 3, 2009.

Hedge Funds:

Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
GAO-09-677T:
Published: May 7, 2009. Publicly Released: May 7, 2009.

Securities and Exchange Commission:

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R:
Published: Feb 26, 2009. Publicly Released: Mar 26, 2009.

Financial Regulation:

Bank Secrecy Act:

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227:
Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.