United States Government Publishing Office publisher pbl distributor dst United States Government Accountability Office General Government Division author aut Government Organization text government publication eng GAOREPORTS Legislative Agency Publications gao legislative 2010-08-12 U.S. Government Printing Office 1999-04-26 monographic deposited born digital 20 p. GA 1.13:GGD-99-53 https://www.govinfo.gov/app/details/GAOREPORTS-GGD-99-53 P0b002ee180380b96 f:gg99053 DGPO 2010-08-12 2011-03-23 GAOREPORTS-GGD-99-53 machine generated eng fdlp REPORT GAOREPORTS-GGD-99-53 GGD-99-53 Management information systems Securities regulation Stock exchanges Brokerage industry Self-regulatory organizations Performance measures Stocks (securities) Securities fraud Financial analysis SEC Electronic Data Gathering, Analysis, and Retrieval System Nasdaq Risk Scoring Compliance System Letter Report GGD 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. https://www.govinfo.gov/content/pkg/GAOREPORTS-GGD-99-53/html/GAOREPORTS-GGD-99-53.htm https://www.govinfo.gov/content/pkg/GAOREPORTS-GGD-99-53/pdf/GAOREPORTS-GGD-99-53.pdf GAO/GGD-99-53 https://www.govinfo.gov/app/details/GAOREPORTS-GGD-99-53 Letter Report GAO/GGD-99-53; Securities Regulation: Actions Taken to Improve Nasdaq; Management information systems Securities regulation Stock exchanges Brokerage industry Self-regulatory organizations Performance measures Stocks (securities) Securities fraud Financial analysis SEC Electronic Data Gathering, Analysis, and Retrieval System Nasdaq Risk Scoring Compliance System