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GAO Reports by subject "SEC Enforcement Program"

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Date Report No. Title
Date Oct. 25, 1995 Report No. T-GGD-96-36 Title

CFTC/SEC Enforcement Programs: Status and Potential Impact of a Merger

United States General Accounting Office GAO For Release on Delivery Expected at 10100a.m., EDT on Wednesday October 25,1995 Testimony Before the Subcomn-tittee on Capital Markets, Securities, and GSEs, Committee on Banking and F’inancial Services House of Representatives CFTC/SECENFORCEMENT PROGRAMS Status and Potential Impaet of a Merger Statement of James L. Bothwell Director, Financial Instit...
Date Aug. 26, 1986 Report No. GGD-86-106BR Title

SEC Enforcement Program: Information on Productivity Statements and Cases Closed Without Action

. , United States General Accounting Office Washington, D.C. 20548 General Governruent Division B-217030 August 26, 1986 The Honorable John D. Dingell Chairman, Subcomittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives Dear Mr. Chairman: (GAO) has In response to your request, the General Accounting Office been evaluating vaGious aspects of the Securitie...
Date March 25, 1985 Report No. GGD-85-28 Title

Financial Institutions: Statistics on SEC's Enforcement Program

BY THE U.S.GENERAL ACCOUNTING Ol%lCE Report To The Chairman, Subcommittee Oversight And Investigation Committee On Energy And Commerce House Of Representatives Statistics On SEC’s Enforcement On Program SEC is authorized by legislation to investigate suspected violations of the federal securities laws and, where warranted, to bring enforcement actions against suspected violators This report pres...