Securities regulation (51 - 60 of 218 items) in Custom Date Range
Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
GAO-01-654R: Published: Apr 27, 2001. Publicly Released: May 8, 2001.
Financial Services Regulators: Better Information Sharing Could Reduce Fraud
GAO-01-478T: Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
Procedures for Updating Arbitrator Disclosure Information
GAO-01-162R: Published: Nov 9, 2000. Publicly Released: Dec 4, 2000.
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 and Exchange Commission: Unlisted Trading Privileges
OGC-00-66: Published: Sep 19, 2000. Publicly Released: Sep 19, 2000.
Expenditures and Revenues of State Securities Regulatory Agencies
GGD-00-189R: Published: Aug 15, 2000. Publicly Released: Sep 13, 2000.
Securities and Exchange Commission: Selective Disclosure and Insider Trading
OGC-00-61: Published: Sep 7, 2000. Publicly Released: Sep 7, 2000.
Mutual Fund Fees: Additional Disclosure Could Encourage Price Competition
GGD-00-126: Published: Jun 7, 2000. Publicly Released: Jul 5, 2000.
Securities Arbitration: Actions Needed to Address Problem of Unpaid Awards
GGD-00-115: Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.
On-Line Trading: Better Investor Protection Information Needed on Brokers' Web Sites
GGD-00-43: Published: May 9, 2000. Publicly Released: Jun 8, 2000.