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Internal controls (1 - 10 of 46 items) in Custom Date Range

Financial Audit:

Investment Advisers:

Requirements and Costs Associated with the Custody Rule
GAO-13-569:
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.

Financial Markets and Institutions:

Securities Fraud Liability of Secondary Actors
GAO-11-664:
Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.

Securities and Exchange Commission:

Information on Fair Fund Collections and Distributions
GAO-10-448R:
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.

Regulation SHO:

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483:
Published: May 12, 2009. Publicly Released: Jun 3, 2009.

Management Report:

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R:
Published: Apr 2, 2009. Publicly Released: Apr 2, 2009.

Securities and Exchange Commission:

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R:
Published: Feb 26, 2009. Publicly Released: Mar 26, 2009.

Financial Regulation:

Bank Secrecy Act:

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227:
Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.

Hedge Funds: