Securities regulation (31 - 40 of 218 items) in Custom Date Range
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830: Published: Aug 15, 2007. Publicly Released: Sep 17, 2007.
Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent
GAO-07-1053: Published: Aug 14, 2007. Publicly Released: Sep 12, 2007.
Credit Derivatives: Confirmation Backlogs Increased Dealers' Operational Risks, but Were Successfully Addressed after Joint Regulatory Action
GAO-07-716: Published: Jun 13, 2007. Publicly Released: Jul 13, 2007.
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 Product Sales: Actions Needed to Protect Military Members
GAO-06-245T: Published: Nov 17, 2005. Publicly Released: Nov 17, 2005.
SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
GAO-05-670: Published: Aug 31, 2005. Publicly Released: Oct 3, 2005.
Mutual Fund Industry: SEC's Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
GAO-05-415: Published: Aug 17, 2005. Publicly Released: Sep 19, 2005.
SEC Mutual Fund Oversight: Positive Actions Are Being Taken, but Regulatory Challenges Remain
GAO-05-692T: Published: Jun 7, 2005. Publicly Released: Jun 7, 2005.
Mutual Fund Trading Abuses: Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
GAO-05-313: Published: Apr 20, 2005. Publicly Released: Apr 22, 2005.
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.