| Date |
Report No. |
Title |
| Date June 6, 1995 |
Report No. GGD-95-174R |
Title
E /-wt2 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division 1 / 1 I
j B-261569 June 6, 1995 The Honorable Ron Wyden Ranking Minority Member subcommittee on Oversight Committee on Commerce House of Representatives Dear Mr. Wyden: and Investigations concern that, with the In your letter to us, YOU expressed possible passage of Glass-Steagall reform legislat... |
| Date May 5, 1995 |
Report No. GGD-95-145R |
Title
United States General Accounting Office Washington, D.C. 20548 General Government Division B-261140 May 5, 1995 The Honorable Bob Franks House of Representatives Dear Mr. Franks: This letter responds to questions you raised in your letter of March 21, 1995, about the possible reporting of options transactions to the Internal Revenue Service (IRS) on information returns.' An option is a contract th... |
| Date May 3, 1995 |
Report No. T-GGD-95-153 |
Title
United States General Accounting Office GAO
For Releaseon Delivery Expectedat IO:00a.m., EDT Wednesday May 3, 1995 Testimony
Before the Subcommittee on Capital Markets, Securities and GSEs, House Committee on Banking and Financial Services House of Representatives FINANCIAL MARKET REGULATION Benefits and Risks of Merging SEC and CFTC
Statement of James L. Bothwell Director, Financial Institutions ... |
| Date Dec. 21, 1994 |
Report No. AIMD-95-22 |
Title
United States General Accounting Office GAO
December 1994 Report to the Chairman and Ranking Minority Member, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives FINANCIAL MARKETS Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages GAO/AIMD-95-22 GAO United States General Accounting Office Washington, D.C. 20548 Acco... |
| Date Sept. 14, 1994 |
Report No. GGD-94-208 |
Title
rs United States General Accounting Office Washington, D.C. 20648 General B-258276 Government Division September 14,1994 The Honorable John D. Dingell Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and F’ inance Committee on Energy and Commerce House of Re... |
| Date Sept. 14, 1994 |
Report No. T-GGD-94-190 |
Title
United States General Accounting Offke ! Testimony
Before the Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce House of Representatives 1
[ For Releaseon Delivery Expectedat 9:30 a.m., EDT on Wednesday September1~41994 SECURITIES MARKETS Actions Needed to Better Protect Investors Against Unscrupulous Brokers
Statement of James L. Bothwell Director, Financial Institu... |
| Date June 14, 1994 |
Report No. T-GGD-94-163 |
Title
United States Genera1 Accounting Office GAO
Not to Be Released Before 1O:OO a.m., EDT on Tuesday June 14, 1994 Testimony
Before the Subcommittee on Environment, Credit and Rural Development, House Committee on Agriculture House of Representatives Responseto the International Swaps and Derivatives Association Position Paper
Statement for the Record James L. Bothwell Director, Financial Institutions... |
| Date May 25, 1994 |
Report No. GGD-94-72 |
Title
United States General Accounting Office GAO
May 1994 Report to Congressional Requesters AMERICAN STOCK EXC&WGE More Chmges Needed in Screening Emerging Companies for the Marketplace GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-256792 May 25,1994 The Honorable John D. Dingell Chairman, Subcommittee on Oversight and Investigations Committee on Ener... |
| Date March 30, 1994 |
Report No. HEHS-94-17 |
Title
United States General Accounting Office GAO
March 1994 Report to the Chairman, Subcommittee oq Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives EMPLOYMENT DISCRIMINATION How Registered Representatives Fare in Discrimination ” Disputes . GAWHEHS-94-17 ,: 3. .,,I. United States General Accounting Office Washington, D.C. 26548 Health, Education, and H~~UIJI... |
| Date June 29, 1993 |
Report No. T-GGD-93-35 |
Title
. United States General Accounting Office GAO
For Releaseon Delivery Expectedat 1:30p.m. EDT Tuesday June29, 1993 Testimony
Before the Subcommitteeon Telecommunicationsand Finance Committee on Energy and Commerce,Houseof Representatives SECURITIES MARKETS SEC Actions Needed to Address Market Fragmentation Issues
Statementof JamesL. BothweIl Director, Financial Institutions and Markets Issues Gener... |
| Date March 16, 1993 |
Report No. GGD-93-70BR |
Title
Ilrritecl Statm |
| Date Feb. 3, 1993 |
Report No. GGD-93-59 |
Title
GAO Fkport to Congressional Committees Regulatory Actions to Reduce Potential for Fraud and Abuse 148481 / j:;AO/(;C;I)-93-R9 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-260730 February 3,1993 The Honorable Donald W. Riegle, Jr. Chairman, Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Christopher J. Dodd Chai... |
| Date Sept. 28, 1992 |
Report No. GGD-92-109 |
Title
IJnited States General Accounting Office ------ L Report to Congressional Requesters SECURITIES INVESTOR PROTECTION The Regulatory Framework Has Minimized SIPC’ s Losses
/-’ illllllllllll Ill
147624 GAO United States General Accounting Offlce Washington, D.C. 20548 General Government Division B-248162 September 28, 1992 The Honorable Donald W. Riegle, Jr. Chairman, Committee on Banking, Housin... |
| Date Aug. 26, 1992 |
Report No. GGD-92-28R |
Title
is r-l CI I’ GAO UnIted States General Accounting OMce Washington, D.C.2Ops48 General Government Divisign ’ -7 B-250056.1 August 26, 1992 The Honorable John D. Dingell Chairman, Committee on Energy and Commerce House of Representatives Dear Mr. Chairman: request and In response to your March 1, 1991 written subsequent discussions with Consuela Washington of your staff, we reviewed Commodity Fu... |
| Date July 28, 1992 |
Report No. GGD-92-110 |
Title
I.Jnit,ctd StateM Gctnoral Accounting ^. Office_. .._.._. .______ _I. ..- _._. . h Report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce 1 House of Representatives
I .“. hly _....,... 1w2 . . -~--.. -__....-._. ,.. .._-_. I_ ..“. _“_ -._, l.l” -... II__ .__..l-” ..-..... ._--.” .-_I-.-.-.---.------.--. ..-~--. ----.-.----..- SECURITIES... |
| Date May 11, 1992 |
Report No. GGD-92-74 |
Title
GAO
.._ _ _._ .___ -.- .- -....- - .-.--.---_---- May 1992 SECURITIES ARBITRATION How Investors Fare 146692 .._..._,._,_ “... “_-.._. .. ._ ..-_._.__. _____,,_,__ ._ . ._ __ ___ ___._.- ---__. _ __ .------ ----.-.-------------- ---- GAO/GGI)-92-74 I ._ ” ^. ._._-_.-.~__.......- .-..-~--___--_ -- --____ ] ui ;c :i .-. _...... .._. - . . ^ _. _ _ ..,_ l_“_ “_ - .-..... __ ___..,...... ..-.... |
| Date April 21, 1992 |
Report No. GGD-92-70 |
Title
GAO SECURITIES FIRMS Assessing the Need to Regulate Additional Financial Activities
i 111ll Ml Ill1
146395 .---. -_..- ,I _. .._.. .._ - .I. ..” “. * 1.““_ .---... -.--..---- --..“.--~--~--~_-~-- GAO United Statee General Accounting Office Washington, D.C. 20548 General Government Division B-245591.2 April 21,1992 The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing and... |
| Date March 10, 1992 |
Report No. GGD-92-41 |
Title
1Jnitcd States Gt~ncral Akmunting Office 1 GAO Report to Congressional Cornrnittees March 1992 SECURITIES MARKETS Challenges to Harmonizing International Capital Standards Remain Ill llllll Ill\\Ill
146063 ‘ I -.--I-_ -...--....-. I-. GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-246519 March lo,1992 The Honorable Patrick J. Leahy Chairman, Comm... |
| Date Jan. 29, 1992 |
Report No. IMTEC-92-16 |
Title
L I 0 __- GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division B-246404 January 29,1992 The Honorable Richard C. Breeden Chairman, Securities and Exchange Commission Dear Mr. Breeden: This report is the result of our continuing work reviewing the automated operations that support our nation’s financial markets. We previously reported o... |
| Date Dec. 11, 1991 |
Report No. IMTEC-92-4 |
Title
-..__. “_..-_I.. .--.- ._ ..__ ..___ Ih’(‘t’fllfN”l’ I!~!~1 . ..I__- . ..-_ .._.-~--...._.._ SECURITIES INDUSTRY SEC Leadership Needed to Further Automate Seeurities Transfers -_--* -.--- .-.--_-_---- ----.._ - .____.------.. --..--- - ._.. -----..--_________ 1 (;A(), IRl’l’l’(‘-!U-4 - . _ .- - -.. .__- - --.--__--.-- _ .---.. ------ _ _. -_ ._ __. I_ .- . . -.._ ..- --.I- GAO ... |
| Date Nov. 21, 1991 |
Report No. GGD-92-17 |
Title
I.l~~itwl St.at.w General Accounting Office Report t,o the Chairman, Subcommittee on Commerce, Consumer, and Mhnetary Affairs, Committee on Government Operations, House of Representatives
--.-.- SECURITIES REGULATION Customer Protection Rule Oversight Procedures Appear Adequate - 145303 .,._.-. I Ill GAO/MiI)-!U- 17 GAO United States
General Accounting Office Washington, D.C. 20548
General Governm... |
| Date Nov. 19, 1991 |
Report No. GGD-92-15 |
Title
_--~-““-- - ,-_.-.._ .__ I*._. .I_ .-. ,....... ^_.. I .._....._ .““l_--l._.l .._. l.-.“l... _. .-_--_- ..__ -_- __..._._ --_- -.’ GAO Ikport, t,o t,lw Chairman, Subc&nmittoc (m I~rivi.btt,~ rernent Plans and Rcti (.hwsi gld (11’ I~nternal Revenue l,lw ,Swv.ic~!,Comnittee on Finance, I .7 Senate 2% TAX ADMINISTRATION Standards Adhered to in Issuing Revenue Ruling 90-27 .I ._ 1”1, _... |
| Date Oct. 31, 1991 |
Report No. GGD-92-7 |
Title
-_. _-.-..-- .._ __.__ __.- -_-.. .._.__ __ __ -...-. ._ GAO RESOLUTION TRUST CORPORATION’ Effectiveness of Auction Sales Should Be Demonstrated --~~AO/GGI)-!~2-7 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-246698 October 31, 1991 The Honorable Paul E. Kanjorski House of Representatives Dear Mr. Kanjorski: After the February ‘20,1991, House ... |
| Date Sept. 26, 1991 |
Report No. GGD-91-135 |
Title
!) ‘ 7 0 3 cn c 0 GAO United States General Accounting Office Washington, DC. 20648 General Government Division B-245321 - September 26, 1991 The Honorable Doug Barnard Chairman, Subcommittee on Commerce, Consumer, and Monetary Affairs Committee on Government Operations House of Representatives Dear Mr. Chairman: In response to your request and subsequent discussions with the Subcommittee, we re... |
| Date Sept. 16, 1991 |
Report No. HRD-91-108 |
Title
1Jnikd States General Accounting Office GAO Report to the Honorable Frank Horton, House of Representatives PRODUCT LIABILITY Insurance Rate Levels and Claim Payments During the 1970s and 1980s Ill Ill lllllllll II
144815 C;AO/IIKT)-91-108 __-___-_---- GAO United States General Accounting Office Washington, D.C. 20648 Human Resources Division B-244325 September 16,199l The Honorable Frank Horton Ho... |
| Date Aug. 28, 1991 |
Report No. IMTEC-91-56 |
Title
---I---. ~-.-.-__l .--..- - _--.. _ _.________- Au~rlst~ 1!)!I 1 F INANCIAL MARKETS -- -- - Computer Security Controls at F ive Stock Exchanges Need Strengthening GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division B-237674 August 28,199l The Honorable Richard C. Breeden Chairman, Securities and Exchange Commission Dear Mr. Chairman: Th... |
| Date Aug. 21, 1991 |
Report No. GGD-91-115 |
Title
, . United States General Accountinrz Office GAO
August, lY!jl Report to the Chairman, Subcommittee on Commerce, Consumer, and Monetary Af’ airs, Committee on Government l’ Operations, House of Representatives SECURITIES MARKETS Clearly Defined “Chinese Wall” Standards Have Been Issued Ill Ill lllllll ll
144843 GAO United States General Accounting Office Washington, D.C. 20548 General Gove... |
| Date May 10, 1991 |
Report No. IMTEC-91-37 |
Title
___I_~.___~_I_-_.-I____I-_~--~ I May I !W 1 STOCK MARKET AUTOM A T ION Exchanges Have Increased Systems’ Capacities Since the 1987 Market Crash 143862 ~- (;AO/IM ’ E(:-!)I-:‘ I‘ 17 / .I 1 j I * _._.--..-__l--__“_l...-_“-~... ...l...ll. ..“_.I**. .“ll.l..-.-._._---.---II. .” _I. -.II._...... ._.~ . _...._. I. --- I Il_----l_ united states General Accounting Of’ fice Washington, ... |
| Date April 25, 1991 |
Report No. GGD-91-52 |
Title
Report to Congressional Corrunittees ~ April 1991 sj ‘ 1 SECURITIES INDUSTRY Strengthening Sales Practice Oversight -. ..-._-..--. l..-.l ”.. “_.ll_... ^..I .___.^....- ._._ __.___..... _.__ . I.. .” . I.. I..” ..^ ~...-_- .._. I. -_--_--~-“-_-.-.-“--~--~-..“~~ ._~-- GAO uniti states GieneralAccounting Of’ flce Washington, D.C. 20648 General Government Divi&n B-242226 April 26,19... |
| Date April 25, 1991 |
Report No. GGD-91-41 |
Title
IJnited States General Accounting Office GAO
April 1991 Report to Congressional Committees FUTURES MARKETS Strengthening Sales Practice Oversight ’ -,,-,--~I_L-_I,I_I- _,I._._._” .I __,_ ...ll” -_.. ~ .-_ .,“,* ,_.. .,” ___.“..^ ,.., “..“l _... l.-l”.-l”“” . “l*_.“-l.l”tli- -.--.-“--- .--..---I- ------- General Government Division B-236446 April 251991 The Honorable... |
| Date April 2, 1991 |
Report No. IMTEC-91-21 |
Title
.-1--.-1---... -- --- --- April I!)91 - FINANCIAL MARKETS Ac tive O v ers ight of Market Automation by SEC and CFTC Needed GAO General Accounting Off’ ice Wahington, D.C. 20548 Information Management and Technology Division unitedstates B-242802 April 2,lQQl The Honorable Patrick J. Leahy Chairman, Committee on Agriculture, Nutrition, and Forestry United States Senate The Honorable Donald W. Rie... |
| Date Sept. 14, 1990 |
Report No. GGD-90-114 |
Title
St~ptcwllwr l!M) U.S. GOVERNMENT SECURITIES More Transaction Information and Investor Protection Measures Are Needed w
142213 I ---l_~-“- -- -- t;Ao./‘(;(;I)-!Mbl 14 li ,b ;; .--_ _._ _ ..-____- _....-_-.--.-. ---.-l-----.--.---:, I . (gQ() ~~~~~in~go¶c , I@
General Government Division B-236437 September 14,199O The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing, and Urban... |
| Date Aug. 24, 1990 |
Report No. IMTEC-90-81 |
Title
~ -_I United States General Accounting Office Report to the Chairman and Ranking Minority Member, Committee on Agriculture, Nutrition, and Forestry, lJ.S. Senate FUTURES MARKETS Use of Automation to Detect Trade Abuses Q llllllllllllll
142270 V--Not to be released outside the General Accounting Offlce unless spedfically approved by the Office of Congressional Relations. .-“” -..._. _. -._“ll... |
| Date July 17, 1990 |
Report No. GGD-90-108BR |
Title
‘ 1 GAO
_ __ .__.-_-.---.-.---- .Jlll\ I!)!)0 SECURITIES AND FUTURES MARKETS Assessment of SEC and CFTC Studies of October 1989 Market Volatilities _ _... .._ .._. I I _...,, _“ll.-l”... . . l-.*-.-. ---- ~--.- --- GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-240406.1 July 17, 1990 The Honorable Christopher J. Dodd Chairman, Subcommittee on... |
| Date July 12, 1990 |
Report No. IMTEC-90-47 |
Title
-..~“-1- -..- -..--~ ..-- 91 ly I!~!~0 II FINANCIAL MARKETS Oversight of Automation Used to Clear and Settle Trades Is Uneven 141773 _I__--.___ .-_____-.-~-_. --- |
| Date April 27, 1990 |
Report No. IMTEC-90-43FS |
Title
-I- -_ Gri I I !)!tO FUTURES MARKETS Information on Six Foreign Automated Trading Systems ---.. ?b II14130 HI Hlll / (;A(),~ IM’I’I%‘-!)O-3:31’S GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division I+234478 April 27, 1990 The Honorable Patrick J. Leahy, Chairman The Honorable Richard G. Lugar, Ranking Minority Member Committee on... |
| Date April 11, 1990 |
Report No. GGD-90-33 |
Title
-GAO Report to Cc-mgressional Cornmi ttees CLEARANCE AND SETTLEMENT REFORM The Stock, Options, and Futures Markets Are Still at Risk 141098 GAO United States General Accounting Office Waahiugton, D.C. 20548 General Government Division B-236443
April 11,lQQO The Honorable John D. Dingell Chairman, Committee on Energy and Commerce House of Representatives The Honorable E (Kika) de la Garza Chairman,... |
| Date March 12, 1990 |
Report No. GGD-90-52 |
Title
I.ttittd Stattas (&net-al Accotttttitrg Oft’iw &A0
March 1990 Report t,o Congressional Committees SECURITIES TRADING SEC Action Needed to Address National Market System Issues General Government Division B-219779 March 12,199O The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing. and Urban Affairs I’nited States Senate The Honorable Christopher J. Dodd Chairman, Subcommittee ... |
| Date Sept. 7, 1989 |
Report No. IMTEC-89-68 |
Title
. United States General Accounting Office GAO
September 1989 Report to the Chairman and Ranking Minority Member, Committee on Agriculture, Nutrition, and Forestry; U.S. Senate FUTURESMARKETS
Automation Can Enhance Detection of Trade Abuses But Introduces New Risks GAO,‘ IMTEC-89-68 GAO United States General Accounting Office Washington, D.C. 20648 Information Technology Management Division and B... |
| Date Sept. 7, 1989 |
Report No. GGD-89-120 |
Title
United States General Accounting Office i Report to the Chairman and the . Ranking Minority Member, Committee on AgricuIture, Nutrition, and Forestry, U.S. Senate
September 1989 FUTURES MARKETS Strengthening Trade Practice Oversight --- GAO/GGD-89-120 “?,. ‘“*,a’ GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-236443 September 7, 1989 The Ho... |
| Date April 14, 1989 |
Report No. NSIAD-89-115 |
Title
: .- .I ‘,-. “( National Security and International Affairs Division B-234478 April 14, 1989 The Honorable Donald W. Riegle, Jr., Chairman The Honorable Jake Garn, Ranking Republican Member Committee on Banking, Housing and Urban Affairs United States Senate This report responds to your request that we identify regulatory issues for coordination among international securities markets and that ... |
| Date March 13, 1989 |
Report No. GGD-89-58 |
Title
United Stat& Geheral Accounting Office GAO
March 1989 Report to the Chairman, Committee on Agriculture, Nutrition and Forestry, U.S. Senate CHICAGO FUTURES MARKET Initial Observations on Trade Practice Abuses General Government Division B-234478 March 13, 1989 The Honorable Patrick J. Leahy Chairman, Committee on Agriculture, Nutrition and Forestry United States Senate Dear Mr. Chairman: This repo... |
| Date March 2, 1989 |
Report No. T-GGD-89-9 |
Title
United hates General Accounting Office Testimony For Release on Delivery Expected at 1O:OO a.m. EST March 2, 1989 High Yield Bond Market Statement of -Richard L. Fogel Assistant Comptroller General General Government Programs Before the Subcommittee on General Oversight and Investigations Committee on Banking, Finance and Urban Affairs House of Representatives 1 . .. @+4~4\ 138 a37
/
GAO GD-89-9 F... |
| Date Nov. 1, 1988 |
Report No. OCG-89-4TR |
Title
c November 1988 Financial Services Industry Issues ,. s-----y
i GAO/OCG-89-4TR GAO united General Accounting Office yashington, DC. 20548 Comptroller General of the United States states B-158195 November 1988 The President of the Senate The Speaker of the House of Representatives The Secretary-designate of the Treasury This summary report is one in a series that addresses major policy, management,... |
| Date Sept. 15, 1988 |
Report No. IMTEC-88-57 |
Title
United States General Accounting Office GAO
September 1988 Report to the Chairman, Committee on Agriculture, Nutrition, and Forestry, U.S. Senate FINANCIAL MARKETS Infomation on Computer Data Used for Stock Market Crash Studies GAO United States General Accounting Office Washington, D.C. 20548 Information Technology Management Division and B-22947 I September 15, 1988 The Honorable Patrick J. Leah... |
| Date May 11, 1988 |
Report No. 135777 |
Title
p Ill11lllll Ill1 ; llllllllll Ill1 Ill11
135777 7 /;tability
----- of Financial Markets: Federal Reserve..Responsibility? 7i -- Remarks by . Assistant Richard L. Fogel General, Office II' r ./' .. Comptroller Accounting at the U. S. General IMF Institute on The Events Seminar of October DC 1988 1987 Washington, May 11, The General investigative the Congress providing audits Accounting Office is a... |
| Date May 1, 1988 |
Report No. GGD-88-75 |
Title
PREFACE Office held a On March 1, 1988, the U.S. General Accounting joint public hearing in conjunction with the Security and the Federal Home Loan Bank Board, the Exchange Commission, the Federal Reserve System, the Comptroller of the Currency, Federal Savings and Loan Insurance Corporation, the Federal Deposit Insurance Corporation, the Department of the Treasury, The hearing fulfilled part of ... |
| Date April 27, 1988 |
Report No. IMTEC-88-36 |
Title
1’ 351072
United Strztes General Accounting Office .
4 GAO
A Report to the Chairman, Committee on Agriculture, Nutrition, and Forestry, U.S. Senate A/prfl1988 NEW YORK STOCK EXCHANGE 08 Capability of Automated Syst$ms to Identify Pro&d Trading GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division --- B-229471 April ‘ 27,1988 The Honor... |
| Date April 27, 1988 |
Report No. T-GGD-88-33S |
Title
, ‘ GAO Testimony For Release on Delivery Expected at 9:30 EDT Wednesday April 27, 1988 Developments October 1987 Since the Market Crash of Summary Statement of Charles A. Bowsher Comptroller General of the United States Before Senate Nutrition United the Committee on Agriculture, and Forestry States Senate ~llllll IIIIll
1 i
135658 j Mr. Chairman pleased and crash and Members to self last be he... |
| Date April 27, 1988 |
Report No. T-GGD-88-33 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 9:30 EDT Wednesday April 27, 1988 Testimony Developments October 1987 Since the Market Crash of Statement of Charles A. Bowsher Comptroller General of the United States Before Senate Nutrition United the Committee on Agriculture, and Forestry States Senate GAO/T-GGD-88-33 GAOForm 160((:2/87; Mr. Chairman We are pleased... |
