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Securities regulation (11 - 20 of 214 items) in Custom Date Range

Securities and Exchange Commission

Information on Fair Fund Collections and Distributions
GAO-10-448R, Apr 22, 2010

Financial Regulation

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T, Sep 29, 2009

Regulation SHO

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

Hedge Funds

Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
GAO-09-677T, May 7, 2009

Management Report

Improvements Needed in SEC's Internal Controls and Accounting Procedures
GAO-09-376R, Apr 2, 2009

Securities and Exchange Commission

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

Financial Regulation

Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
GAO-09-499T, Mar 19, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

Systemic Risk

Regulatory Oversight and Recent Initiatives to Address Risk Posed by Credit Default Swaps
GAO-09-397T, Mar 5, 2009

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-349T, Feb 4, 2009

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