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Securities Regulation: Actions Taken to Improve Nasdaq Listing Procedures

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Report Type Reports and Testimonies
Report Date April 26, 1999
Report No. GGD-99-53
Subject
Summary:

This report follows up on whether the Securities and Exchange Commission (SEC) and the Nasdaq Stock Market have implemented GAO's earlier recommendations for improving the oversight and operations of Nasdaq's Listing Qualifications Department. (See GAO/GGD-98-45, Feb. 1998.) GAO also includes information on the status of Nasdaq's response to recommendations SEC made as part of its oversight of the Listing Qualifications Department and information on the status of Nasdaq's new automated Risk Scoring Compliance System.

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