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Regulatory agencies (21 - 30 of 41 items)

Mutual Fund Trading Abuses

Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
GAO-05-313, Apr 20, 2005

Financial Markets and Institutions

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R, Jul 9, 2004

SEC and CFTC

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900, Jul 13, 2001

Auditing and Financial Management

Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R, Aug 15, 2000

Securities Operations

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

Long-Term Capital Management

Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3, Oct 29, 1999

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(3), Aug 1, 1998

Financial Institutions and Markets Issue Area

Active Assignments
AA-98-6(2), May 1, 1998

Results Act

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

Mutual Funds

SEC Adjusted Its Oversight in Response to Rapid Industry Growth
GGD-97-67, May 28, 1997
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