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Stock exchanges (1 - 10 of 59 items) in Custom Date Range

Financial Regulation

Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
GAO-10-410, Apr 22, 2010

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Securities and Exchange Commission

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R, Feb 26, 2009

Financial Market Preparedness

Significant Progress Has Been Made, but Pandemic Planning and Other Challenges Remain
GAO-07-399, Mar 29, 2007

Financial Market Preparedness

Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters
GAO-04-984, Sep 27, 2004

Securities Markets

Competition and Multiple Regulators Heighten Concerns about Self-Regulation
GAO-02-362, May 3, 2002

Securities Regulation

Improvements Needed in the Amex Listing Program
GAO-02-18, Nov 27, 2001

Securities Pricing

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319, Sep 20, 2000

Securities Arbitration

Actions Needed to Address Problem of Unpaid Awards
GGD-00-115, Jun 15, 2000

On-Line Trading

Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43, May 9, 2000

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