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Securities fraud (1 - 10 of 37 items)

Investment Advisers:

Requirements and Costs Associated with the Custody Rule
GAO-13-569:
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.

Financial Markets and Institutions:

Securities Fraud Liability of Secondary Actors
GAO-11-664:
Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.

Securities and Exchange Commission:

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053:
Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.

SEC Mutual Fund Oversight:

Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T:
Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.

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.

Securities and Exchange Commission:

Selective Disclosure and Insider Trading
OGC-00-61:
Published: Sep 7, 2000. Publicly Released: Sep 7, 2000.

Securities Exchange Act:

Review of Reporting Under Section 10A
AIMD-00-54R:
Published: Feb 4, 2000. Publicly Released: Feb 4, 2000.

Securities Regulation:

Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53:
Published: Apr 26, 1999. Publicly Released: Apr 29, 1999.

Money Penalties:

Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data
GGD-99-8:
Published: Nov 2, 1998. Publicly Released: Nov 2, 1998.

SEC:

Offshore Offers and Sales
OGC-98-33:
Published: Mar 11, 1998. Publicly Released: Mar 11, 1998.