Reports and Testimonies - Browse by topic
Reporting requirements (1 - 10 of 35 items)
Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Requirements and Costs Associated with the Custody Rule
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.
Agencies' Efforts to Analyze and Coordinate Their Rules
Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.
Dodd-Frank Act Regulations:
Implementation Could Benefit from Additional Analyses and Coordination
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
Private Fund Advisers:
Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
Published: Jul 11, 2011. Publicly Released: Jul 11, 2011.
Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Improvements Needed in SEC's Internal Controls and Accounting Procedures
Published: Apr 2, 2009. Publicly Released: Apr 2, 2009.
Bank Secrecy Act:
Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
Published: Feb 12, 2009. Publicly Released: Mar 16, 2009.
Industry Trends Continue to Challenge the Federal Regulatory Structure
Published: Oct 12, 2007. Publicly Released: Oct 12, 2007.
Lost Security Holders:
SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.