Browse Government Accountability Office (GAO) reports by subject "SEC Examination Activity Tracking System"- LegiStorm

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GAO Reports by subject "SEC Examination Activity Tracking System"

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Date	Report No.	Title
Date Nov. 21, 1991	Report No. GGD-92-17	Title Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate I.l~~itwl St.at.w General Accounting Office Report t,o the Chairman, Subcommittee on Commerce, Consumer, and Mhnetary Affairs, Committee on Government Operations, House of Representatives --.-.- SECURITIES REGULATION Customer Protection Rule Oversight Procedures Appear Adequate - 145303 .,._.-. I Ill GAO/MiI)-!U- 17 GAO United States General Accounting Office Washington, D.C. 20548 General Governm...
Date April 25, 1991	Report No. GGD-91-52	Title Securities Industry: Strengthening Sales Practice Oversight Report to Congressional Corrunittees ~ April 1991 sj ‘ 1 SECURITIES INDUSTRY Strengthening Sales Practice Oversight -. ..-._-..--. l..-.l ”.. “_.ll_... ^..I .___.^....- ._._ __.___..... _.__ . I.. .” . I.. I..” ..^ ~...-_- .._. I. -_--_--~-“-_-.-.-“--~--~-..“~~ ._~-- GAO uniti states GieneralAccounting Of’ flce Washington, D.C. 20648 General Government Divi&n B-242226 April 26,19...

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