Securities fraud (1 - 10 of 38 items) in Custom Date Range
Securities and Exchange Commission: Management Has Enhanced Supervisory Controls and Could Further Improve Efficiency
GAO-17-16: Published: Oct 6, 2016. Publicly Released: Oct 6, 2016.
Investment Advisers: Requirements and Costs Associated with the Custody Rule
GAO-13-569: Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.
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.