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Reporting requirements (1 - 10 of 33 items) in Custom Date Range

Dodd-Frank Act

Agencies' Efforts to Analyze and Coordinate Their Rules
GAO-13-101, Dec 18, 2012

Dodd-Frank Act Regulations

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151, Nov 10, 2011

Private Fund Advisers

Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
GAO-11-623, Jul 11, 2011

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

Management Report

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

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

Financial Regulation

Industry Trends Continue to Challenge the Federal Regulatory Structure
GAO-08-32, Oct 12, 2007

Lost Security Holders

SEC Should Use Data to Evaluate Its 1997 Rule
GAO-01-978, Sep 28, 2001

Securities and Exchange Commission

Reviews of Accounting Matters Related to Public Filings
GAO-01-718, Jun 14, 2001

Financial Services Regulators

Better Information Sharing Could Reduce Fraud
GAO-01-478T, Mar 6, 2001