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Internal controls (11 - 20 of 46 items)

Securities and Exchange Commission:

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
Published: Nov 15, 2007. Publicly Released: Dec 17, 2007.

Financial Regulation:

Industry Trends Continue to Challenge the Federal Regulatory Structure
Published: Oct 12, 2007. Publicly Released: Oct 12, 2007.

Securities and Exchange Commission:

Securities and Exchange Commission:

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.

SEC and CFTC Penalties:

Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
Published: Aug 31, 2005. Publicly Released: Oct 3, 2005.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

Mutual Fund Trading Abuses:

Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.

Financial Markets and Institutions:

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.

Securities Investor Protection:

Update on Matters Related to the Securities Investor Protection Corporation
Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.

SEC Enforcement:

More Actions Needed to Improve Oversight of Disgorgement Collections
Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.