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Internal controls (21 - 30 of 44 items)

Securities Pricing

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319, Sep 20, 2000

Commodity Exchange Act

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

Securities Operations

Day Trading Requires Continued Oversight
GGD-00-61, Feb 24, 2000

Securities Exchange Act

Review of Reporting Under Section 10A
AIMD-00-54R, Feb 4, 2000

Results Act

Observations on CFTC's Strategic Plan
T-GGD-98-17, Oct 22, 1997

Financial Institutions and Markets Issue Area

Active Assignments
AA-97-6(3), Sep 1, 1997

Justice and Law Enforcement

Financial Institutions and Markets Issue Area--Active Assignments
AA-97-6(1), Jan 2, 1997

Financial Derivatives

Actions Taken or Proposed Since May 1994
GGD/AIMD-97-8, Nov 1, 1996

Banks' Securities Activities

Oversight Differs Depending on Activity and Regulator
GGD-95-214, Sep 21, 1995

Securities Enforcement

Improvements Needed in SEC Controls Over Disgorgement Cases
GGD-94-188, Aug 23, 1994
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