Internal controls (21 - 30 of 48 items)
Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811: Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
SEC Enforcement: More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771: Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
Financial Services Regulators: Better Information Sharing Could Reduce Fraud
GAO-01-478T: Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
Procedures for Updating Arbitrator Disclosure Information
GAO-01-162R: Published: Nov 9, 2000. Publicly Released: Dec 4, 2000.
Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319: Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.
Commodity Exchange Act: Issues Related to the Regulation of Electronic Trading Systems
GGD-00-99: Published: May 5, 2000. Publicly Released: May 5, 2000.
Securities Operations: Day Trading Requires Continued Oversight
GGD-00-61: Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.
Securities Exchange Act: Review of Reporting Under Section 10A
AIMD-00-54R: Published: Feb 4, 2000. Publicly Released: Feb 4, 2000.
Results Act: Observations on CFTC's Strategic Plan
T-GGD-98-17: Published: Oct 22, 1997. Publicly Released: Oct 22, 1997.
Financial Institutions and Markets Issue Area: Active Assignments
AA-97-6(3): Published: Sep 1, 1997. Publicly Released: Sep 1, 1997.