United States Government Publishing Office publisher pbl distributor dst United States Government Accountability Office author aut Government Organization text government publication eng GAOREPORTS Legislative Agency Publications gao legislative 2010-08-12 U.S. Government Printing Office 2001-03-06 monographic deposited born digital GA 1.13:GAO-01-478T https://www.govinfo.gov/app/details/GAOREPORTS-GAO-01-478T P0b002ee18037cd68 f:d01478t DGPO 2010-08-12 2011-03-28 GAOREPORTS-GAO-01-478T machine generated eng fdlp REPORT GAOREPORTS-GAO-01-478T GAO-01-478T Fraud Internal controls Interagency relations Insurance regulation Securities regulation Information disclosure Reporting requirements Consumer protection Self-regulatory organizations Information systems Testimony The sharing of regulatory and criminal history data among financial services regulators can reduce fraudulent activities. GAO recently reported on several instances where unscrupulous brokers moved from one financial industry to another. This testimony focuses on (1) systems used by financial regulators for tracking regulatory history data, (2) regulatory history data needed to help prevent rogue migration and limit fraud, (3) criminal history data needs among financial regulators, and (4) challenges and considerations for implementing an information-sharing system among financial regulators. https://www.govinfo.gov/content/pkg/GAOREPORTS-GAO-01-478T/html/GAOREPORTS-GAO-01-478T.htm GAO-01-478T https://www.govinfo.gov/app/details/GAOREPORTS-GAO-01-478T Testimony GAO-01-478T; Financial Services Regulators: Better Information Sharing; Fraud Internal controls Interagency relations Insurance regulation Securities regulation Information disclosure Reporting requirements Consumer protection Self-regulatory organizations Information systems