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Internal controls (21 - 30 of 46 items)

Financial Services Regulators:

Better Information Sharing Could Reduce Fraud
GAO-01-478T:
Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.

Financial Markets and Institutions:

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.

Justice and Law Enforcement:

Financial Institutions and Markets Issue Area--Active Assignments
AA-97-6(1):
Published: Jan 2, 1997. Publicly Released: Jan 2, 1997.

Financial Derivatives:

Actions Taken or Proposed Since May 1994
GGD/AIMD-97-8:
Published: Nov 1, 1996. Publicly Released: Nov 1, 1996.