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Securities regulation (21 - 30 of 214 items) in Custom Date Range

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-314T, Jan 21, 2009

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-310T, Jan 14, 2009

Financial Regulation

A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
GAO-09-216, Jan 8, 2009

Hedge Funds

Regulators and Market Participants Are Taking Steps to Strengthen Market Discipline, but Continued Attention Is Needed
GAO-08-200, Jan 24, 2008

Securities and Exchange Commission

Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
GAO-08-33, Nov 15, 2007

Financial Regulation

Industry Trends Continue to Challenge the Federal Regulatory Structure
GAO-08-32, Oct 12, 2007

Securities and Exchange Commission

Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830, Aug 15, 2007

Securities and Exchange Commission

Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053, Aug 14, 2007

Credit Derivatives

Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
GAO-07-716, Jun 13, 2007

Financial Market Preparedness

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

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