Securities Markets: Clearly Defined 'Chinese Wall' Standards Have Been Issued
GGD-91-115
Published: Aug 21, 1991. Publicly Released: Sep 20, 1991.
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Highlights
Pursuant to a congressional request, GAO reviewed Securities and Exchange Commission (SEC) oversight of broker-dealer Chinese Walls, which are the policies and procedures for deterring and detecting the abuse of material, nonpublic information (MNPI) through insider trading.
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Brokerage industryFederal legislationIndependent regulatory commissionsInformation disclosureInternal controlsSecuritiesSecurities fraudSecurities regulationStandards evaluationWhite collar crime