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GAO SECURITIES RESEARCH. Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest. Report to Congressional Committees

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Figure

Figure 1: FINRA Cycle Examinations That Included Reviews for Compliance with  SRO Research Analyst Rules and Number of Deficiencies, 2005 through 2010
Figure 2: FINRA Cycle Examinations That Included Reviews for Compliance with  the Global Settlement and Number of Deficiencies, 2005 through 2010
Figure 3: Violations Involving Research and Investment Banking Conflicts That Led to FINRA Enforcement Actions, 2005  through 2010
Figure 4: Significant Developments in Oversight of Research Analyst Conflicts, Including the Global Settlement and SRO  Research Analyst Rules, 2001 through 2011
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