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Securities and Futures: How the Markets Developed and How They Are Regulated

GGD-86-26 Published: May 15, 1986. Publicly Released: May 15, 1986.
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Highlights

Pursuant to a congressional request, GAO studied the securities industry oversight process, focusing on: (1) the history of securities and futures trading; (2) the detailed operations of the securities and futures markets; and (3) the self-regulatory organizations that govern the two markets.

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Topics

Justice and Law Enforcement
Brokerage industryCommodities exchangesFuturesIndependent regulatory commissionsSecuritiesSecurities regulationSelf-regulatory organizationsStock exchangesTrade regulationFinancial instruments