Stock exchanges (1 - 10 of 60 items) in Custom Date Range
Financial Audit: Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
GAO-14-213R: Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Financial Regulation: Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410: Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483: Published: May 12, 2009. Publicly Released: Jun 3, 2009.
Securities and Exchange Commission: Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R: Published: Feb 26, 2009. Publicly Released: Mar 26, 2009.
Financial Market Preparedness: Significant Progress Has Been Made, but Pandemic Planning and Other Challenges Remain
GAO-07-399: Published: Mar 29, 2007. Publicly Released: Apr 30, 2007.
Financial Market Preparedness: Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters
GAO-04-984: Published: Sep 27, 2004. Publicly Released: Oct 27, 2004.
Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362: Published: May 3, 2002. Publicly Released: May 3, 2002.
Securities Regulation: Improvements Needed in the Amex Listing Program
GAO-02-18: Published: Nov 27, 2001. Publicly Released: Dec 20, 2001.
Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319: Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.
Securities Arbitration: Actions Needed to Address Problem of Unpaid Awards
GGD-00-115: Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.