| Date |
Report No. |
Title |
| Date July 13, 2011 |
Report No. GAO-11-653 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees RESIDENTIAL APPRAISALS Opportunities to Enhance Oversight of an Evolving Industry GAO-11-653 July 2011 RESIDENTIAL APPRAISALS
Accountability • Integrity • Reliability Opportunities to Enhance Oversight of an Evolving Industry
Highlights of GAO-11-653, a report to congressional committees Why GAO Did... |
| Date July 13, 2011 |
Report No. GAO-11-783T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT Wednesday, July 13, 2011 Testimony Before the Subcommittee on Insurance, Housing and Community Opportunity, Committee on Financial Services, House of Representatives RESIDENTIAL APPRAISALS Opportunities to Enhance Oversight of an Evolving Industry
Statement of William B. Shear, Director Financial M... |
| Date Jan. 28, 2011 |
Report No. GAO-11-119 |
Title
United States Government Accountability Office GAO
January 2011 Report to the Ranking Member, Committee on Education and the Workforce, House of Representatives 401(K) PLANS Improved Regulation Could Better Protect Participants from Conflicts of Interest GAO-11-119 January 2011 401(K) PLANS
Accountability • Integrity • Reliability Improved Regulation Could Better Protect Participants from Conf... |
| Date Jan. 18, 2011 |
Report No. GAO-11-235 |
Title
United States Government Accountability Office GAO
January 2011 Report to Congressional Addressees CONSUMER FINANCE Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain GAO-11-235 January 2011 CONSUMER FINANCE
Accountability • Integrity • Reliability Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain
... |
| Date May 12, 2009 |
Report No. GAO-09-483 |
Title
United States Government Accountability Office GAO
May 2009 Report to Congressional Requesters REGULATION SHO Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed GAO-09-483 May 2009 REGULATION SHO Highlights
Highlights of GAO-09-483, a report to congressional requesters Accountability Integrity Reliability Recent Actions Appear to Have Initiall... |
| Date April 16, 2009 |
Report No. GAO-09-507R |
Title
United States Government Accountability Office Washington, DC 20548 April 16, 2009 Congressional Committees Subject: Small Business Administration’s Implementation of Administrative Provisions in the American Recovery and Reinvestment Act of 2009 Due to recent turmoil in U.S. credit markets, many lenders have been reluctant to offer conventional loans—that is, loans that are not guaranteed by ... |
| Date Aug. 8, 2008 |
Report No. GAO-08-862 |
Title
United States Government Accountability Office GAO
August 2008 Report to Congressional Committees INTERNATIONAL MARRIAGE BROKER REGULATION ACT OF 2005 Agencies Have Implemented Some, but Not All of the Act’s Requirements GAO-08-862 August 2008 Highlights
Highlights of GAO-08-862, a report to congressional committees Accountability Integrity Reliability INTERNATIONAL MARRIAGE BROKER REGULATION AC... |
| Date July 11, 2008 |
Report No. GAO-08-919R |
Title
United States Government Accountability Office Washington, DC 20548 July 11, 2008 The Honorable Christopher J. Dodd Chairman The Honorable Richard C. Shelby Ranking Member Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Barney Frank Chairman The Honorable Spencer Bachus Ranking Member Committee on Financial Services House of Representatives Subject: Initial Resu... |
| Date Jan. 31, 2007 |
Report No. GAO-07-17 |
Title
United States Government Accountability Office GAO
January 2007 Report to Congressional Requesters GSA LEASING Initial Implementation of the National Broker Services Contracts Demonstrates Need for Improvements GAO-07-17 a January 2007 GSA LEASING Highlights
Highlights of GAO-07-17, a report to congressional requesters Accountability Integrity Reliability Initial Implementation of the National Bro... |
| Date July 25, 2006 |
Report No. GAO-06-1005T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT Tuesday, July 25, 2006 Testimony Before the Subcommittee on Housing and Community Opportunity, Committee on Financial Services, House of Representatives REAL ESTATE BROKERAGE Various Factors May Affect Price Competition
Statement of David G. Wood, Director Financial Markets and Community Investment... |
| Date Aug. 31, 2005 |
Report No. GAO-05-947 |
Title
United States Government Accountability Office GAO
August 2005 Report to the Committee on Financial Services, House of Representatives REAL ESTATE BROKERAGE Factors That May Affect Price Competition GAO-05-947 a August 2005 REAL ESTATE BROKERAGE Highlights
Highlights of GAO-05-947, a report to the Committee on Financial Services, House of Representatives Accountability Integrity Reliability Factor... |
| Date Aug. 17, 2005 |
Report No. GAO-05-415 |
Title
United States Government Accountability Office GAO
August 2005 Report to Congressional Requesters MUTUAL FUND INDUSTRY SEC’s Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain GAO-05-415 a August 2005 MUTUAL FUND INDUSTRY Highlights
Highlights of GAO-05-415, a report to congressional requesters Accountability Integrity Reliability SEC’s Revised ... |
| Date June 7, 2005 |
Report No. GAO-05-692T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 4:00 p.m. EDT Tuesday, June 7, 2005 Testimony Before the Subcommittee on Commercial and Administrative Law, Committee on the Judiciary, House of Representatives SEC MUTUAL FUND OVERSIGHT Positive Actions Are Being Taken, but Regulatory Challenges Remain
Statement of Richard J. Hillman, Director Financial Markets... |
| Date May 31, 2005 |
Report No. GAO-05-535 |
Title
United States Government Accountability Office GAO
May 2005 Report to Congressional Requesters SECURITIES MARKETS Decimal Pricing Has Contributed to Lower Trading Costs and a More Challenging Trading Environment GAO-05-535 a May 2005 SECURITIES MARKETS Highlights
Highlights of GAO-05-535, a report to congressional requesters Accountability Integrity Reliability Decimal Pricing Has Contributed to L... |
| Date May 16, 2005 |
Report No. GAO-05-385 |
Title
United States Government Accountability Office GAO
May 2005 Report to Congressional Requesters MUTUAL FUND TRADING ABUSES SEC Consistently Applied Procedures in Setting Penalties, but Could Strengthen Certain Internal Controls GAO-05-385 May 2005 MUTUAL FUND TRADING ABUSES Highlights
Highlights of GAO-05-385, a report to congressional requesters Accountability Integrity Reliability SEC Consistentl... |
| Date April 20, 2005 |
Report No. GAO-05-313 |
Title
United States Government Accountability Office GAO
April 2005 Report to the Committee on the Judiciary, House of Representatives MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage GAO-05-313 a April 2005 MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage Highlights of GAO-05-313, a... |
| Date July 22, 2004 |
Report No. GAO-04-968T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EDT Thursday, July 22, 2004 Testimony Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs SECURITIES MARKETS Preliminary Observations on the Use of Subpenny Pricing
Statement of Davi M. D’Agostino, Director Financial Markets and Community Investment GAO-04-968T July 22, 2004 SECU... |
| Date July 9, 2004 |
Report No. GAO-04-799 |
Title
United States General Accounting Office GAO
July 2004 Report to the Subcommittee on Oversight, Committee on Ways and Means, House of Representatives MUTUAL FUNDS SEC Should Modify Proposed Regulations to Address Some Pension Plan Concerns GAO-04-799 July 2004 MUTUAL FUNDS SEC Should Modify Proposed Regulations to Address Some Pension Plan Concerns Highlights of GAO-04-799, a report to the Subcommi... |
| Date March 10, 2004 |
Report No. GAO-04-533T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, March 10, 2004 Testimony Before the Committee on Banking, Housing and Urban Affairs, U.S. Senate MUTUAL FUNDS Assessment of Regulatory Reforms to Improve the Management and Sale of Mutual Funds
Statement of David M. Walker Comptroller General of the United States GAO-04-533T March 10, 2004 MUT... |
| Date Aug. 29, 2003 |
Report No. GAO-03-790 |
Title
United States General Accounting Office GAO
August 2003 Report to Congressional Requesters EMPLOYMENT DISPUTES Recommendations to Better Ensure That Securities Arbitrators Are Qualified GAO-03-790 August 2003 EMPLOYMENT DISPUTES Recommendations to Better Ensure That Securities Arbitrators Are Qualified Highlights of GAO-03-790, a report to congressional requesters Employees in the securities indus... |
| Date June 18, 2003 |
Report No. GAO-03-909T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, June 18, 2003 Testimony
Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, House of Representatives MUTUAL FUNDS Additional Disclosures Could Increase Transparency of Fees and Other Practices
Statement of Richard J. Hill... |
| Date March 12, 2003 |
Report No. GAO-03-551T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, March 12, 2003 Testimony
Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, House of Representatives MUTUAL FUNDS Information on Trends in Fees and Their Related Disclosure
Statement for the Record by Richard J. Hillman ... |
| Date May 3, 2002 |
Report No. GAO-02-362 |
Title
United States General Accounting Office GAO
May 2002 Report to Congressional Committees SECURITIES MARKETS Competition and Multiple Regulators Heighten Concerns about Self-Regulation GAO-02-362 Contents Letter
Results in Brief Background Increased Competition Has Heightened Some Market Participants’ Concerns about Conflicts of Interest Some Broker-Dealers Were Concerned about Rule Differences an... |
| Date Oct. 10, 2001 |
Report No. GAO-02-111 |
Title
United States General Accounting Office GAO
October 2001 Report to the Chairman, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate ANTI-MONEY LAUNDERING Efforts in the Securities Industry GAO-02-111 a Contents Letter
Results in Brief Background The Securities Industry Is Viewed as a Potential Target, but the Extent of Actual Money Laundering Is Unknown Broker... |
| Date Sept. 28, 2001 |
Report No. GAO-01-978 |
Title
United States General Accounting Office GAO
September 2001 Report to Congressional Requesters LOST SECURITY HOLDERS SEC Should Use Data to Evaluate Its 1997 Rule GAO-01-978 a Contents Letter
Results in Brief Background Transfer Agents and Broker-dealers Reported Limited Numbers of Lost Accounts, but Little Historical Data Were Available Transfer Agents and Broker-dealers Used Similar Techniques to... |
| Date July 20, 2001 |
Report No. GAO-01-858 |
Title
United States General Accounting Office GAO
July 2001 Report to Congressional Requesters ON-LINE TRADING Investor Protections Have Improved but Continued Attention Is Needed GAO-01-858 Contents Letter
Results in Brief Background Scope and Methodology On-line Trading Activity and Complaints Involving On-line Trading Peaked in the First Quarter of 2000 Regulators Have Taken Substantial Action to Enh... |
| Date May 25, 2001 |
Report No. GAO-01-653 |
Title
United States General Accounting Office GAO
May 2001 Report to the Ranking Minority Member, Energy and Commerce Committee, House of Representatives SECURITIES INVESTOR PROTECTION Steps Needed to Better Disclose SIPC Policies to Investors GAO-01-653 Contents Letter Executive Summary 1 3 Chapter 1 Introduction
SIPC’s Mission, Organization, Funding, and Oversight SIPC Protection Versus Federal Depo... |
| Date May 3, 2001 |
Report No. GAO-01-655R |
Title
United States General Accounting Office Washington, DC 20548 May 3, 2001 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives Subject: SEC's Report Provides Useful Information On Mutual Fund Fees And Recommends Improved Fee Disclosure Dear Mr. Dingell: This letter responds to your request that we comment on the findings and recommendations... |
| Date April 27, 2001 |
Report No. GAO-01-654R |
Title
United States General Accounting Office Washington, DC 20548 April 27, 2001 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey House of Representatives Subject: Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Our June 2000 report, Securities Arbitration: Actions Needed to Addre... |
| Date March 22, 2001 |
Report No. GAO-01-474 |
Title
United States General Accounting Office GAO
March 2001 Report to the Honorable Carl Levin, Ranking Member, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate MONEY LAUNDERING Oversight of Suspicious Activity Reporting at Bank-Affiliated Broker-Dealers GAO-01-474 Contents Letter
Results in Brief Background Objectives, Scope, and Methodology Federal Bank Regulat... |
| Date Sept. 20, 2000 |
Report No. GGD/AIMD-00-319 |
Title
United States General Accounting Office GAO
September 2000 Report to Congressional Requesters SECURITIES PRICING Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay GAO/GGD/AIMD-00-319 United States General Accounting Office Washington, D.C. 20548 General Government Division B-285368 September 20, 2000 The Honorable Thomas J. Bliley, Jr. Chairman, Committee on Commerce House o... |
| Date June 15, 2000 |
Report No. GGD-00-115 |
Title
United States General Accounting Office GAO
June 2000 Report to Congressional Requesters SECURITIES ARBITRATION Actions Needed to Address Problem of Unpaid Awards GAO/GGD-00-115 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281372 June 15, 2000 The Honorable John D. Dingell Ranking Minority Member, Committee on Commerce House of Representatives The Ho... |
| Date June 7, 2000 |
Report No. GGD-00-126 |
Title
United States General Accounting Office GAO
June 2000 Report to the Chairman, Subcommittee on Finance and Hazardous Materials; and the Ranking Member, Committee on Commerce, House of Representatives MUTUAL FUND FEES Additional Disclosure Could Encourage Price Competition GAO/GGD-00-126 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281444 June 5, 2000 ... |
| Date May 9, 2000 |
Report No. GGD-00-43 |
Title
United States General Accounting Office GAO
May 2000 Report to the Congressional Requesters ON-LINE TRADING Better Investor Protection Information Needed on Brokers’ Web Sites GAO/GGD-00-43 United States General Accounting Office Washington, D.C. 20548 General Government Division B-283098 May 9, 2000 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce The Honorable Ron Kl... |
| Date Feb. 24, 2000 |
Report No. GGD-00-61 |
Title
United States General Accounting Office GAO
February 2000 Report to Congressional Requesters SECURITIES OPERATIONS Day Trading Requires Continued Oversight GAO/GGD-00-61 United States General Accounting Office Washington, D.C. 20548 General Government Division B-283097 February 24, 2000 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce The Honorable Ron Klink Ranking Mino... |
| Date Feb. 23, 2000 |
Report No. GGD-00-67R |
Title
United States General Accounting Office Washington, D.C. 20548 General Government Division B-284348 February 23, 2000 The Honorable Byron Dorgan United States Senate The Honorable Tom Harkin United States Senate The Honorable Harry Reid United States Senate Subject: Responses to Questions Concerning Long-Term Capital Management and Related Events This letter responds to your request that we answer... |
| Date Oct. 29, 1999 |
Report No. GGD-00-3 |
Title
United States General Accounting Office GAO
October 1999 Report to Congressional Requesters LONG-TERM CAPITAL MANAGEMENT Regulators Need to Focus Greater Attention on Systemic Risk GAO/GGD-00-3 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281371 October 29, 1999 The Honorable Byron L. Dorgan United States Senate The Honorable Tom Harkin United States... |
| Date April 26, 1999 |
Report No. GGD-99-53 |
Title
United States General Accounting Office GAO
April 1999 Report to the Ranking Minority Member Committee on Commerce House of Representatives SECURITIES REGULATION Actions Taken to Improve Nasdaq Listing Procedures GAO/GGD-99-53 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-281373 April 26, 1999 The Honorable John D. Dingell Ranking Minority Member ... |
| Date April 14, 1999 |
Report No. GGD-99-63R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-282342 April 14,1999 The Honorable Tom Bliley Chairman, Committee on Commerce House of Representatives Subject: Accounting Standards Treatment of Asset-Backed Securities Dear &fr. Chairman: This letter responds to your request for information on whether the greater discretion allowed to banks as oppose... |
| Date Sept. 30, 1998 |
Report No. GGD-98-204 |
Title
United States General Accounting Office GAO
September 1998 Report to Congressional Committees SEC ENFORCEMENT Responses to GAO and SEC Recommendations Related to Microcap Stock Fraud GAO/GGD-98-204 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-279399 September 30, 1998 The Honorable Susan M. Collins Chairman The Honorable John Glenn Ranking Minori... |
| Date Aug. 31, 1998 |
Report No. GGD-98-194 |
Title
United States General Accounting Office GAO
August 1998 Report to Congressional Requesters SECURITIES MARKET OPERATIONS The Effects of SOES on the Nasdaq Market GAO/GGD-98-194 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-278412 August 31, 1998 The Honorable Charles E. Schumer House of Representatives The Honorable Gary L. Ackerman House of Repres... |
| Date March 6, 1998 |
Report No. GGD/AIMD-98-51 |
Title
United States General Accounting Office GAO
March 1998 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives SEC YEAR 2000 REPORT Future Reports Could Provide More Detailed Information GAO/GGD/AIMD-98-51 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-278067 March 6, 1998 Honorable John D. Dingell Ranking Minority Me... |
| Date Feb. 6, 1998 |
Report No. GGD-98-45 |
Title
United States General Accounting Office GAO
February 1998 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives SECURITIES REGULATION Oversight of SRO’s Listing Procedures Could Be Improved GAO/GGD-98-45 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-277217 February 6, 1998 The Honorable John D. Dingell Ranking Mi... |
| Date May 8, 1997 |
Report No. GGD-97-58 |
Title
United States General Accounting Office GAO
May 1997 Report to Congressional Committees BANK OVERSIGHT Few Cases of Tying Have Been Detected GAO/GGD-97-58 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-261747 May 8, 1997 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives The Honorable Thomas J. Mant... |
| Date Sept. 25, 1996 |
Report No. GGD-96-177 |
Title
United States General Accounting Office GAO
September 1996 Report to Congressional Requesters FUTURES MARKETS Heightened Audit Trail Standards Not Met But Progress Continues G A O years
1921 - 1996 GAO/GGD-96-177 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-261761 September 25, 1996 The Honorable Richard G. Lugar Chairman The Honorable Patrick J.... |
| Date Aug. 19, 1996 |
Report No. GGD-96-171 |
Title
United States General Accounting Office GAO
August 1996 Report to Congressional Requester NASD TELEPHONE HOTLINE Enhancements Could Help Investors Be Better Informed About Brokers’ Disciplinary Records G A O years
1921 - 1996 GAO/GGD-96-171 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259990 August 19, 1996 The Honorable Edward J. Markey Rankin... |
| Date June 6, 1996 |
Report No. GGD-96-5 |
Title
United States General Accounting Office GAO
June 1996 Report to the Chairman, Securities and Exchange Commission INITIAL PUBLIC OFFERINGS Guidance Needed on Disclosure of Underwriters’ Disciplinary Histories G A O years
1921 - 1996 GAO/GGD-96-5 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259973 June 6, 1996 The Honorable Arthur Levitt Chairman... |
| Date Oct. 25, 1995 |
Report No. T-GGD-96-36 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10100a.m., EDT on Wednesday October 25,1995 Testimony
Before the Subcomn-tittee on Capital Markets, Securities, and GSEs, Committee on Banking and F’inancial Services House of Representatives CFTC/SECENFORCEMENT PROGRAMS
Status and Potential Impaet of a Merger
Statement of James L. Bothwell Director, Financial Instit... |
| Date Oct. 1, 1995 |
Report No. AA-95-7(4) |
Title
United States General Accounting Office GAO
October 1995_ General Government Division Financial Institutions
and Markets Issue Area Active Assignments ,_ 0653A/A9 -/7(4
GAO/AA-95-7(4) Foreword This report was prepared primarily to inform Congressional members and key staff of ongoing assignments in the General Accounting Office's Financial Institutions and Markets issue area This report contains a... |
| Date Sept. 21, 1995 |
Report No. GGD-95-214 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters BANKS’ SECURITIES ACTIVITIES Oversight Differs Depending on Activity and Regulator GAO/GGD-95-214 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259498 September 21, 1995 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House o... |
