| Date |
Report No. |
Title |
| Date Aug. 31, 2005 |
Report No. GAO-05-670 |
Title
United States Government Accountability Office GAO
August 2005 Report to Congressional Requesters SEC AND CFTC PENALTIES Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed GAO-05-670 a August 2005 SEC AND CFTC PENALTIES Highlights
Highlights of GAO-05-670, a report to congressional requesters Accountability Integrity Reliability Continued Progress Made in... |
| Date July 15, 2003 |
Report No. GAO-03-795 |
Title
United States General Accounting Office GAO
July 2003 Report to Congressional Requesters SEC AND CFTC FINES FOLLOW-UP Collection Programs Are Improving, but Further Steps Are Warranted GAO-03-795 a July 2003 SEC AND CFTC FINES FOLLOW-UP Collection Programs Are Improving, but Further Steps Are Warranted Highlights of GAO-03-795, a report to House Ranking Minority Members of congressional committees... |
| Date July 12, 2002 |
Report No. GAO-02-771 |
Title
United States General Accounting Office GAO
July 2002 Report to Congressional Requesters SEC ENFORCEMENT More Actions Needed to Improve Oversight of Disgorgement Collections GAO-02-771 a Contents Letter
Results in Brief Background SEC’s Reported Collection Rate Is Not an Effective Measure of SEC’s Collection Efforts SEC Lacks Strategic Guidance, Clear Policies and Procedures, and an Effective ... |
| Date Aug. 23, 1994 |
Report No. GGD-94-188 |
Title
United States General Accounting Offhe GAO
August 1994 j Report to the Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives SECURITIES ENFORCEMENT Improvements Needed in SEC Controls Over Disgorgement Cases GAO/GED-94-188 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-256910 August 23,1994... |
