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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:
Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.

Financial Markets and Institutions:

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
GAO-04-848R:
Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.

SEC and CFTC:

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900:
Published: Jul 13, 2001. Publicly Released: Jul 30, 2001.

Auditing and Financial Management:

Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R:
Published: Aug 15, 2000. Publicly Released: Sep 13, 2000.

Securities Operations:

Day Trading Requires Continued Oversight
GGD-00-61:
Published: Feb 24, 2000. Publicly Released: Feb 24, 2000.

Long-Term Capital Management:

Regulators Need to Focus Greater Attention on Systemic Risk
GGD-00-3:
Published: Oct 29, 1999. Publicly Released: Nov 19, 1999.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-98-6(3):
Published: Aug 1, 1998. Publicly Released: Aug 1, 1998.

Financial Institutions and Markets Issue Area:

Active Assignments
AA-98-6(2):
Published: May 1, 1998. Publicly Released: May 1, 1998.

Results Act:

Observations on CFTC's Strategic Plan
T-GGD-98-17:
Published: Oct 22, 1997. Publicly Released: Oct 22, 1997.

Mutual Funds:

SEC Adjusted Its Oversight in Response to Rapid Industry Growth
GGD-97-67:
Published: May 28, 1997. Publicly Released: May 28, 1997.