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GAO Report: SEC Procedures in Setting Penalties and Internal Controls to Combat Mutual Fund Trading Abuses
U.S. Government Accountability Office [GAO] 
June 8, 2005
45 pages. "To assess SEC's efforts to impose penalties on violators, this report [1] discusses SEC's civil penalties in settled trading abuse cases, [2] provides information on related criminal enforcement actions, and [3] evaluates SEC's criminal referral procedures." [GAO-05-385, published May 16, 2005, released Jun. 7, 2005]
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