Reports and Testimonies - Browse by topic

Browse By:
 
Sort by Results per page Search within "Stock exchanges"

Stock exchanges (1 - 10 of 60 items) in Custom Date Range

Financial Audit:

Financial Regulation:

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.