Anti-Manipulation Rules Concerning Securities Offerings

OGC-97-11: Published: Jan 16, 1997. Publicly Released: Jan 16, 1997.


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Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new anti-manipulation rule concerning securities offerings. GAO found that: (1) the rule would govern the activities of underwriters, issuers, selling securityholders, and others in connection with securities offerings; (2) the rule is intended to preclude manipulative conduct by persons with an interest in the outcome of an offering; (3) the rule would also ease the regulatory burdens on offering participants; and (4) SEC complied with applicable requirements in promulgating the rule.

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    Priority Open Recommendations:

    Department of the Treasury
    GAO-20-549PR: Published: Apr 23, 2020. Publicly Released: Apr 30, 2020.

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