Securities Regulation: Securities and Exchange Commission Oversight of Self-Regulation
GGD-86-83
Published: Sep 30, 1986. Publicly Released: Oct 02, 1986.
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Highlights
In response to a congressional request, GAO examined the Securities and Exchange Commission's (SEC) oversight of securities industry self-regulatory organizations (SRO), such as stock exchanges.
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Brokerage industryCommodities exchangesIndependent regulatory commissionsInspectionProgram managementSecurities regulationSelf-regulatory organizationsStock exchangesTrade regulationSecurities