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Securities fraud (1 - 10 of 36 items) in Custom Date Range

Financial Markets and Institutions

Securities Fraud Liability of Secondary Actors
GAO-11-664, Jul 21, 2011

Securities and Exchange Commission

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053, Aug 14, 2007

SEC Mutual Fund Oversight

Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T, Jun 7, 2005

SEC and CFTC

Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
GAO-01-900, Jul 13, 2001

Securities and Exchange Commission

Selective Disclosure and Insider Trading
OGC-00-61, Sep 7, 2000

Securities Exchange Act

Review of Reporting Under Section 10A
AIMD-00-54R, Feb 4, 2000

Securities Regulation

Actions Taken to Improve Nasdaq Listing Procedures
GGD-99-53, Apr 26, 1999

Money Penalties

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

SEC

Offshore Offers and Sales
OGC-98-33, Mar 11, 1998

Securities Regulation

Oversight of SRO's Listing Procedures Could Be Improved
GGD-98-45, Feb 6, 1998
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