Reports and Testimonies - Browse by topic
Regulatory agencies (11 - 20 of 46 items)
Preliminary Observations on DOJ's Use and Oversight of Deferred Prosecution and Non-Prosecution Agreements
Published: Jun 25, 2009. Publicly Released: Jun 25, 2009.
Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Published: May 12, 2009. Publicly Released: Jun 3, 2009.
Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
Published: Mar 19, 2009. Publicly Released: Mar 19, 2009.
A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
Published: Jan 8, 2009. Publicly Released: Jan 8, 2009.
USA Patriot Act:
Better Interagency Coordination and Implementing Guidance for Section 311 Could Improve U.S. Anti-Money Laundering Efforts
Published: Sep 30, 2008. Publicly Released: Oct 30, 2008.
Food and Drug Administration:
Approval and Oversight of the Drug Mifeprex
Published: Aug 7, 2008. Publicly Released: Aug 18, 2008.
International Marriage Broker Regulation Act of 2005:
Agencies Have Implemented Some, but Not All of the Act's Requirements
Published: Aug 8, 2008. Publicly Released: Aug 8, 2008.
Securities and Exchange Commission:
Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
Published: Nov 15, 2007. Publicly Released: Dec 17, 2007.
Regulators' Assessments of the Effectiveness of Their Support Efforts Have Been Limited
Published: Oct 30, 2007. Publicly Released: Oct 30, 2007.
Industry Trends Continue to Challenge the Federal Regulatory Structure
Published: Oct 12, 2007. Publicly Released: Oct 12, 2007.