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Securities and Exchange Commission: Regulation of Takeovers and Security Holder Communications

Description: Other written product issued by the General Accounting Office with an abstract that begins "Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on the regulation of takeovers and security holder communications. GAO noted that: (1) the rule would revise the regulations applicable to takeover transactions (including tender offers, mergers, acquisitions, and similar extraordinary transactions) to permit significantly more communications befor… more
Date: November 19, 1999
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities and Exchange Commission: Reviews of Accounting Matters Related to Public Filings

Description: A letter report issued by the General Accounting Office with an abstract that begins "This report reviews the Securities and Exchange Commission's (SEC) resolution of accounting issues submitted by companies that have or are contemplating publicly traded securities. Companies are required by law to register their securities with SEC by filing a registration statement. This statement must contain financial and other information on the securities and the issuer. SEC's Office of the Chief Accounta… more
Date: June 14, 2001
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities and Exchange Commission: Selective Disclosure and Insider Trading

Description: Other written product issued by the General Accounting Office with an abstract that begins "Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on selective disclosure and insider trading. GAO noted that: the new rule would address three issues: (a) the selective disclosure by various issuers of material nonpublic information; (b) when insider trading liability arises in connection with a trader's "use" or "knowing possession" of material … more
Date: September 7, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities and Exchange Commission: Unlisted Trading Privileges

Description: Other written product issued by the General Accounting Office with an abstract that begins "Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on unlisted trading privileges. GAO noted that: (1) under the rule, a national securities exchange extending unlisted trading privileges to an initial public offering (IPO) listed on another exchange will no longer be required to wait until the day after trading has commenced on the listing exchang… more
Date: September 19, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities Arbitration: Actions Needed to Address Problem of Unpaid Awards

Description: A chapter report issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO provided information on issues relating to the arbitration process in the securities industry, focusing on: (1) whether arbitration forums had implemented recommendations made in GAO's 1992 report and whether the changes were effective; (2) how investors fared in award decisions; and (3) the extent to which investors were paid the amounts awarded by arbitration panels." more
Date: June 15, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Exchange Act: Review of Reporting Under Section 10A

Description: Correspondence issued by the General Accounting Office with an abstract that begins "This report responds to Representative John Dingell's request that GAO update our February 4, 2000, report on reporting under Section 10A of the Securities Exchange Act of 1934. Section 10A requires reporting to the Securities and Exchange Commission (SEC) when, during the course of a financial audit, an auditor detects likely illegal acts that have a material impact on the financial statements and appropriate … more
Date: September 3, 2003
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities Fraud: The Internet Poses Challenges to Regulators and Investors

Description: Testimony issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO discussed Internet securities fraud and regulatory efforts to combat this growing problem, focusing on: (1) information about the incidence and types of securities frauds perpetrated over the Internet; (2) the Securities and Exchange Commission's (SEC) initiatives to combat Internet securities fraud; (3) information on the penalties that have been imposed on individuals found… more
Date: March 22, 1999
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors

Description: A chapter report issued by the General Accounting Office with an abstract that begins "The Securities Investor Protection Act of 1970 created the Securities Investor Protection Corporation (SIPC) to help protect customers against losses from the failure of a securities firm. However, the large number of claims denied in several recent SIPC liquidation proceedings has raised concerns that some SIPC policies and practices may unduly limit the actual protection afforded customers. This report disc… more
Date: May 25, 2001
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation

Description: A letter report issued by the General Accounting Office with an abstract that begins "As result of ongoing concerns about the adequacy of disclosures provided to investors about the Securities Investor Protection Corporation (SIPC) and investors' responsibilities to protect their investments, GAO issued a report in 2001 entitled Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies to Investors (GAO-01-653). GAO was asked to determine the status of recommendations made t… more
Date: July 11, 2003
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation

Description: A letter report issued by the General Accounting Office with an abstract that begins "In the securities markets, competition among self-regulatory organizations (SRO) and their members for customer orders has heightened concerns about conflicts of interest in their roles as both market operators and regulators. Nasdaq--the market run by the National Association of Securities Dealers (NASD)--has been in competition with NASD members that run electronic communications networks. For years, the New… more
Date: May 3, 2002
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Markets: Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight

Description: A letter report issued by the General Accounting Office with an abstract that begins "The equity listing standards of the three largest U.S. securities markets--the American Stock Exchange (Amex), the Nasdaq Stock Market, Inc. (NASDAQ), and the New York Stock Exchange (NYSE)--have received heightened attention as part of efforts to restore investor confidence following the 2001 terrorist attacks and the unexpected corporate failures beginning that year. GAO was asked to discuss (1) the status o… more
Date: April 8, 2004
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Operations: Day Trading Requires Continued Oversight

Description: A letter report issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO reviewed day trading, focusing on: (1) the nature and extent of day trading; (2) regulatory actions taken to address the day trading risks; and (3) the actions day trading firms have taken to address regulatory concerns."
Date: February 24, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Operations: Update on Actions Taken to Address Day Trading Concerns

Description: A letter report issued by the General Accounting Office with an abstract that begins "Concerns arose in the late 1990s about day trading, particularly the use of questionable advertising to attract customers without fully disclosing or by downplaying the risks involved. Concerns were also raised that traders were losing large amounts of money. Day traders as a group and day trading firms have continued to evolve and are generally more experienced and sophisticated about securities markets and i… more
Date: November 27, 2001
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Pricing: Progress and Challenges in Converting to Decimals

Description: Testimony issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO discussed its recent reports on the securities industry's progress toward implementing decimal trading, focusing on the: (1) progress made to date toward converting to decimals; and (2) challenges that remain."
Date: March 1, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay

Description: A letter report issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO examined the progress that the securities industry has made toward the implementation of decimal pricing for U.S. stocks, focusing on: (1) what were the specific reasons that the Nasdaq market was not ready for the July 3, 2000, implementation date and how the National Association of Securities Dealers', Inc. (NASD) decimal-trading preparations compared with those of th… more
Date: September 20, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Regulation: Actions Taken to Improve Nasdaq Listing Procedures

Description: A letter report issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO reviewed whether the Securities and Exchange Commission (SEC) and Nasdaq Stock Market, Inc. have implemented the recommendations from a previous GAO report, focusing on the status of Nasdaq's: (1) response to recommendations SEC made as part of its oversight of Nasdaq's Listing Qualifications Department (NLQ); and (2) new automated Risk Scoring Compliance System (RSCS)." more
Date: April 26, 1999
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Securities Regulation: Improvements Needed in the Amex Listing Program

Description: A letter report issued by the General Accounting Office with an abstract that begins "The Securities and Exchange Commission (SEC) has indicated that one-third of Amex's new listings did not meet the exchange's equity listing standards. Amex's listing guidelines address factors that are the same or similar to those addressed by other U.S. stock markets. Quantitative requirements addressed share price, stockholders' equity, income, and market value of publicly held shares. However, the minimum t… more
Date: November 27, 2001
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Security: Breaches at Federal Agencies and Airports

Description: Testimony issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO discussed the potential security risk to the United States posed by the use of stolen or counterfeit law enforcement badges and credentials."
Date: May 25, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Security Clearances: FBI Has Enhanced Its Process for State and Local Law Enforcement Officials

Description: A letter report issued by the General Accounting Office with an abstract that begins "The free flow of information among federal, state, and local law enforcement agencies could prove vital to fighting the war on terrorism. State and local law enforcement officials are key stakeholders in the United States' efforts to combat terrorism, and as such, they may require access to classified national security information to help prevent or respond to terrorist attacks. In order to gain access to such… more
Date: April 30, 2004
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Security: Counterfeit Identification and Indentification Fraud Raise Security Concerns

Description: Testimony issued by the General Accounting Office with an abstract that begins "This testimony summarizes some of our recent investigations that demonstrate security vulnerabilities that exist because counterfeit identification can be easily produced and used to create fraudulent identities. It is based in part on the recently issued restricted report Security: Vulnerabilities Found in Driver's License Applications Process. This also encompasses results from security tests we have performed ove… more
Date: September 9, 2003
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Security: Counterfeit Identification Raises Homeland Security Concerns

Description: Testimony issued by the General Accounting Office with an abstract that begins "GAO testified about how homeland security is vulnerable to identity fraud. Today, counterfeit identification is easily produced and used to create fraudulent identities. Tests GAO has performed over the past 3 years demonstrate that counterfeit identification documents can be used to (1) enter the United States; (2) purchase firearms; (3) gain access to government buildings and other facilities; (4) obtain genuine i… more
Date: October 1, 2003
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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Security Protection: Standardization Issues Regarding Protection of Executive Branch Officials

Description: A letter report issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO reviewed security protection for selected officials from all of the civilian executive branches from fiscal years 1997 through 1999, focusing on: (1) how many federal government officials were protected, who protected them, and how many security personnel protected them; (2) the cost to protect these officials; (3) under what legal authorities were agencies providing se… more
Date: July 11, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Report
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Security Protection: Standardization Issues Regarding Protection of Executive Branch Officials

Description: Testimony issued by the General Accounting Office with an abstract that begins "Pursuant to a congressional request, GAO discussed the security protection of executive branch officials in fiscal years 1997 through 1999, focusing on: (1) how many federal government officials were protected, who protected them, and how many security personnel protected them; (2) how much did it cost to protect these officials; (3) under what legal authorities were agencies providing security protection; (4) unde… more
Date: July 27, 2000
Creator: United States. General Accounting Office.
Item Type: Refine your search to only Text
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