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Anti-money laundering efforts in the securities industry.

United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2001] 2001

Bank Secrecy Act enforcement : hearing before the Committee on Banking, Housing, and Urban Affairs,

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2006. 2006

Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009. 2009

Evaluation of steps taken to address the problem of unpaid arbitration awards

United States. General Accounting Office.
Washington, DC : The Office, [2001] 2001

Follow-up report on matters relating to securities arbitration

United States. General Accounting Office.
Washington, D.C. : U.S. General Accounting Office, [2003] 2003

Improving financial oversight : a private sector view of anti-money laundering efforts : hearing bef

United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2004. 2004

Money penalties securities and futures regulators collect many fines but need to better use industry

United States. General Accounting Office.
Washington, D.C. (P.O. Box 37050, Washington 20013) : U.S. General Accounting Office, [1999] 1998

A review of self-regulatory organizations in the securities markets : hearings before the Committee

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2007. 2007

SEC enforcement responses to GAO and SEC recommendations related to microcap stock fraud : report to

United States. General Accounting Office.
Washington, D.C. (P.O. Box 37050, Washington 20013) : U.S. General Accounting Office, [1999] 1998

Securities and Exchange Commission opportunities exist to improve oversight of self-regulatory organ

United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2007] 2007

The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance an

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005. 2005

Securities markets competition and multiple regulators heighten concerns about self-regulation.

United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2002] 2002

Securities regulation: SEC inspections of financial industry regulatory authority's governance were

United States. Government Accountability Office, author.
[Washington, D.C.] : United States Government Accountability Office, 2018. 2018

Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on C

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2006. 2006

The state of the securities markets : hearing before the Committee on Banking, Housing, and Urban Af

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009. 2009