Reports and Testimonies - Browse by topic
Securities (21 - 30 of 139 items)
Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
Published: Jun 13, 2007. Publicly Released: Jul 13, 2007.
Financial Product Sales:
Actions Needed to Protect Military Members
Published: Nov 17, 2005. Publicly Released: Nov 17, 2005.
SEC Mutual Fund Oversight:
Positive Actions Are Being Taken, but Regulatory Challenges Remain
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Financial Markets and Institutions:
Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation
Published: Jul 9, 2004. Publicly Released: Aug 9, 2004.
Securities Investor Protection:
Update on Matters Related to the Securities Investor Protection Corporation
Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
More Actions Needed to Improve Oversight of Disgorgement Collections
Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Published: May 3, 2002. Publicly Released: May 3, 2002.
Update on Actions Taken to Address Day Trading Concerns
Published: Nov 27, 2001. Publicly Released: Jan 8, 2002.
Improvements Needed in the Amex Listing Program
Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
Lost Security Holders:
SEC Should Use Data to Evaluate Its 1997 Rule
Published: Sep 28, 2001. Publicly Released: Sep 28, 2001.