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Internal controls (11 - 20 of 44 items)

Securities and Exchange Commission

Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830, Aug 15, 2007

Securities and Exchange Commission

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053, Aug 14, 2007

SEC and CFTC Penalties

Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
GAO-05-670, Aug 31, 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

Financial Markets and Institutions

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R, Jul 9, 2004

Securities Investor Protection

Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811, Jul 11, 2003

SEC Enforcement

More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771, Jul 12, 2002

Financial Services Regulators

Better Information Sharing Could Reduce Fraud
GAO-01-478T, Mar 6, 2001

Financial Markets and Institutions

Procedures for Updating Arbitrator Disclosure Information
GAO-01-162R, Nov 9, 2000
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