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GAO Reports by subject "Brokerage industry"

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Date Report No. Title
Date April 27, 1988 Report No. IMTEC-88-35 Title

Financial Markets: Status of Computer Improvements at the New York Stock Exchange

United St&es denersll Accounting Of’ fice Report to CongressionalRequesters m* FINANCIAL MARKETS : Status of Computer Improvements at the New York Stock ~ Exchange 135671 ,a General Accounting Office Washington,D.C. 20548 Information Management and Technology Division United States B-229471 April 27,1988 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Comm...
Date April 14, 1988 Report No. GGD-88-41 Title

Leverage Contracts: Commodity Futures Trading Commission's Regulation of Leverage Contracts

. United States Generai Accounting Office Oversight and Investigations, Cpmmittee~ on Energy and Commerce,House of Representatives @ Chairman, Subcommitteeon ,I,, Report to th6 LEVERAGE CONTRACTS Commodity IFutures Trading Commission’ s Regulation of Leverage Contracts IIlllllllllll ll 135816 IIUI GAO United Statea General Accounting Office Washington, D.C. 20548 General Government Division B-22...
Date March 24, 1988 Report No. 135778 Title

Special Publications: [What Government Can Do To Protect the Public Interest in a Changing Financial Market Place]

L. c IIllIllIll11mm; Ill11 11111111 135778 ! WHAT GOVERNMENT CAN DO TO PROTECT kE tPUBLIC INTEREST$N ;A CHANGING, ;r FINANCIAL MARKET PLACEi i I- Assistant United States Richa-rd L. Fogel Comptroller General General Accounting Office Speech Before The New York Society of Securities Analysis and the Investment Technology Association March 24, 1988 I" p _ ; _*:> ] *?::- TO PROTECT THE PUBLIC THINGS ...
Date March 4, 1988 Report No. GGD-88-48FS Title

Securities Regulation: Hostile Corporate Takeovers: Synopses of Thirty-Two Attempts

Y * United States General Accounting I-ssq Office / . ‘ GAO Marc+ 1988 Fact Sheet for the Chairman, Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives / I SECURITIES REGULATION Hostile Corporate Takeovers: Synopses of Thirty-Two Attempts . * P ““““,I. ““.“_1-“1”“1 _ __-111 --_I ----- l-“,-l---ll--_-l ---- -~ - --_- ~ --....
Date Feb. 5, 1988 Report No. T-GGD-88-10 Title

Business, Industry, and Consumers: Preliminary Observations on the Market Crash of October 1987

Release on Delivery Expected at 10:00 a.m. Friday February 5, 1988 For Preliminary Observations Crash of October 1987 on the Market Statement of Richard L. Fogel Assistant Comptroller General, General Government Programs Before the Committee on.Banking, United States Senate Housing and Urban Affairs . Ill i 134976 Mr . Chairman before efforts October you to and Members today examine to discuss wha...
Date Feb. 3, 1988 Report No. T-GGD-88-8 Title

Business, Industry, and Consumers: Preliminary Observations on the Market Crash of October 1987

. GA!0 -~~ --~ - United States~Generrsl Accounting OBlce !3iy q q4 Testimony * For Release on Delivery Expected at 10:00 a.m. Wednesday February 3, Preliminary Crash of Observations October 1987 on the Market 1988 Statement of Richard L. Fogel Assistant Comptroller General, General Government Programs Before the Subcommittee on Financial Institutions Supervision, Regulation and Insurance Committee...
Date Feb. 1, 1988 Report No. NSIAD-88-88 Title

Export Credit Insurance: Industry Participants' Views

13c193% United States General Accounting Office L Report to the Chairman, Board of Diredtors, Export-Import Bank of the United States EXPORT CREDIT INSURANCE Industry Participants’ Views 134938 United States Gmeral Accounting Office Washington, DC. 20548 National Security and International Affairs Division B-227687 February 1, 1988 Mr. John A. Bohn, Jr. Chairman, Board of Directors Export-Import...
Date Jan. 26, 1988 Report No. T-OCG-88-1 Title

Business, Industry, and Consumers: Preliminary Observations on the Market Crash of October 1987

United States General Accounting OffIce Testimony I r’ . For Release on Delivery Expected at 9:30 a.m. Tuesday January 26, 'Preliminary Observations Markeg~,~ .-,y....*"l Crash of October 1988 on the 1987 Statement of Charles A. Bowsher Comptroller General of the United States Before the Subcommittee on Telecommunications and Finance Committee on Energy and Commerce United States House of Repres...
Date Jan. 26, 1988 Report No. GGD-88-38 Title

Financial Markets: Preliminary Observations on the October 1987 Crash

United Statea rieneral Accounting Uhice GAO. ’ January 1988 - Report to Congressional Requesters FINANCIAL MARKETS Preliminary Observations on the October 1987 Crash II ad, GAO/GGD-@= *. -. . Comptroller General of the United States B-229471 January 26, 1988 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Represent...
Date Dec. 18, 1987 Report No. GGD-88-8 Title

U.S. Government Securities: An Examination of Views Expressed About Access to Brokers' Services

. ..- 1 , United S ta te s G e ieial A c c o u n tin g O ffice - . .- 1 GA6 December 1987 R e p o rt to th e C o n g ress * j ! U. S.GOVERNMENT S E C U R ITIE S A n E x a m in a tio n o f V ie w s E x p r e s s e d A b o u t Access to B rokers’ S e rvice s -. . ” . ’ . I m Comptroller General of the United States B-221597 December 18, 1987 The President of the Senate and the Speaker of the H...
Date June 22, 1987 Report No. GGD-87-94FS Title

Securities Regulation: SEC Budget and Workload Statistics, FY 1979-1988

’. GAO Fact Sheet to ‘ Chairman, the bSubcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives June 1987 SECURITIES REGULATION SEC Budget and Workload Statistics, FY 19794988 :II\ II Ill Ml 133550 / I GAO/GGD-87-94FS 539Jb4 RELEASED . I GAO United States General Accounting Offke Washington, D.C. 20548 -_~~___ General Government Division B-227354 ...
Date April 21, 1987 Report No. GGD-87-55FS Title

U.S. Government Securities: The Federal Reserve Response Regarding Its Market-Making Standard

3 -‘I United Stalm Geneti Accounting Of&e I3J7qo I GIAO I Fmt ShLeet the Chairman, for Sl;l.bco:m:mLttee Domest:.cMo:netary o:n Policy, Corrmittee on Banking, Finarke md Urban &&K&S,House of Representzkives I a. Apti I,@87 i I U.S.GOWRNNIEW SECURITIES The Federal Reserve Response Regarding Its Market-Making Standard llllll1lIllllll II 132740 038G GACVGGD-87-MFS \ GAO United Stat.en Gtweral Accou...
Date Feb. 4, 1987 Report No. GGD-87-42 Title

U.S. Government Securities: Expanding Access to Interdealer Brokers' Services

lJnited -l_____,,l_____________I___._.______ ..-- .._-.--,-.-.--.-.k.---,-States General Accounting .^l .-__- l-l-. QflRce GAO Hearing February 1987 Government Securities: Expanding Access to Interdea3er Brokers’ Services Transcript of a Hearing Held Jointly by GAO, the Department of the Treasury, the Federal Reserve System, and the Securities and Exchange Commission on February 4, 1987, Washing...
Date Dec. 11, 1986 Report No. T-GGD-87-2 Title

Business, Industry, and Consumers: Insider Trading in the Securities Markets

‘ . +I .’ / United States Gene Accounting O ffice /31767, GAO __. For Release on Delivery Esrpectedat lo:00 a.m. EST Thursday December l&J l.386 Testimony i Insider Trading in the Securities Markets statement of W illiam J. Anderson, Assistant General GoverrmentPrcgrams Cmptroller General Before the Subxmnittee on Oversight and Investigations Ckxmnittee on Energy and Ccxtmerce House of Represe...
Date Sept. 30, 1986 Report No. GGD-86-83 Title

Securities Regulation: Securities and Exchange Commission Oversight of Self-Regulation

United States General Accounting Office . Report to the Chairman, Subcommittee & ~ Telecommunications, Consumer Protection, and Finance, Committee on Energy and Commerce House of Representatives September 1986 SECURITIES REGULATION Securities and Exchange Commission Oversight of Self-Regulation GAO/GGD-M-W 53053 ( . . > GAO united states General Accounting Office Washington, D.C. 201348 General Go...
Date Sept. 29, 1986 Report No. 131128 Title

Financial Institutions: The Treasury Securities Market and Primary Dealer System

UNITED STATES GENERAL ACCOUNTING OFFICE 20548 WASHINGTON, D.C. FOR RELEASE ON DELIVERY EXPECTED AT lo:00 A.M. MONDAY, SEPTEMBER 29, 1986 STATEMENT OF WILLIAM ASSISTANT J. ANDERSON COMPTROLLER GENERAL GENERAL GOVERNMENT PROGRAMS BEFORE THE SUBCOMMITTEE ON DOMESTIC MONETARY POLICY OF THE COMMITTEE ON BANKING, FINANCE AND URBAN AFFAIRS HOUSE OF REPRESENTATIVES ON THE TREASURY SECURITIES MARKET AND PR...
Date Aug. 20, 1986 Report No. GGD-86-80BR Title

U.S. Treasury Securities: The Market's Structure, Risks, and Regulation

VI I---. ‘“1 United States General Accounting OfRice L30735 Briefing Report to the Chairhan, Subcommittee on Domestic Monetary Policy, Committee on Banking, F’inance and Urban Affairs, House of Representatives Augusit 1986 U.S.TREASURY SECURITIES The Market’s Structure, Risks, and Regulation I III II Ill (I I I 1lllll! 130735 / GAOJGGD-86-80BR 03G399 - (30735 , . i I General Government Div...
Date May 15, 1986 Report No. GGD-86-26 Title

Securities and Futures: How the Markets Developed and How They Are Regulated

United States General Accounting Office GAO L_ May 1.7. IUHIi I Staff Study - -- SECURITIES AND FUTURES How the Markets Developed and How They Are Regulated 035J+w5 GAO/GGD-86-26 5219779 Preface Since their regulation was designedin the 193Os, securities and futures markets have continued to evolve. This evolution has been influenced b; changesin the economic environment, government policies, tech...
Date April 9, 1986 Report No. GGD-86-56FS Title

Tax Policy: Financial Cycles in the Property/Casualty Industry

i United States General Accounting Office ‘GAO April 1986 Fact Sheet for the Chairman, House Committee on Ways and Means TAX POLICY Financial Cycles in the Pro~rQvThsualty Industry x UNITED STATES GENERAL ACCOUNTING OFFICE WASHINGTON, D.C. 2OSM April 9, 1986 B-220675 The Honorable Dan Rostenkowski Committee on Ways and Means Chairman, House of Representatives Dear Mr. Chairman: During our testim...
Date March 5, 1986 Report No. 129236 Title

Business, Industry, and Consumers: Securities and Exchange Commission's Oversight of Securities Industry Self-Regulatory Organizations

United States General Accountins Washinqton, D.C. 20548 Office FOR RELEASE ON DELIVERY EXPECTED AT 9:30 A.M., EST MARCH 5, 1986 STATEMENT OF CRAIG A. SIMMONS, ASSOCIATE DIRECTOR GENERAL GOVERNMENTDIVISION BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS, CONSUMERPROTECTTON, AND FINANCE COMMITTEE ON ENERGY AND COMMERCE UNITED STATES HOUSE OF REPRESENTATIVES ON THE SECURITIES AND EXCHANGE COMMISSION'S ...
Date July 9, 1985 Report No. 127376 Title

Justice and Law Enforcement: Regulation of the U.S. Government Securities Market

United States General Accounting Washington, D.C. 20551 Office FOR RELEASE ON DELIVERY EXPECTED AT 9:30 A.M. JULY 9, 1985 STATEMENT OF WILLIAM J. ANDERSON, DIRECTOR GENERAL GOVERNMENTDIVISION BEFORE THE SUBCOMMITTEE ON DOMESTIC MONETARY POLICY COMMITTEE ON BANKING, FINANCE AND URBAN AFFAIRS I U.S. HOUSE OF REPRESENTATIVES ON THE REGULATION OF THE U.S. GOVERNMENTSECURITIES MARKET II . 127376 Mr. Ch...
Date April 17, 1985 Report No. 126730 Title

Business, Industry, and Consumers: Audit Standards and Procedures Relevant to Audits of Financial Institutions Involved in Significant Government Securities Repurchase Agreements

UNITED STATES GENERAL ACCOUNTING OFFICE WASHINGTON, D.C. 20548 111111 llll llll 126730 STATEMENT OF BEFORE THE! OF THE FOR RELEASF ON DELIVERY EXPECTED AT 10 A.M. APRIL 17, 1987 FREDERICK D. WOLF, DIRECTOR ACCOUNTING AND FINANCIAL MANAGRMENT DIVISION SURCOMYTTTFEON OVRRSIGHT AND INVES?1,-J:GATIONS HOIJSF!COMMITTEE ON ENERGY AND COMMERCE ON AUDIT STANDARDS AND PROCEDIJRES RELEVANT TO AUDITS OF FINA...
Date Feb. 18, 1982 Report No. 117522 Title

Business, Industry, and Consumers: Commodity Futures Trading Commission

h. #II r’v ..I IT’=“. STATSS GENERAL ACCOUNTING 3FFZCE 2c545 FOR RELEASE ON DELIVERY EXPECTED AT l!J A.M. EST THURSDAY, FEBRUARY 18, 1982 STATEMENT OF WASHINGTON, D.C. HENRY ESCHWEGE, DIRECTOR coM~uNrrY AND Hc0~0MIc DEVELOPMENT DIVISION BEFORE THE COYMERCE, CONSUMER, AND MONETARY AFFAIRS SUBCOMMITTEE OF THE H!lUSE COMMITTEE ON ON GOVERNYENT OPERATIONS THE COMMODITY FUTURES TRADING COMMISSION...
Date Sept. 20, 1978 Report No. FGMSD-78-58 Title

Financial Management: Customs Check Depositing Procedures Need Improvement

DOCUMENT RESOME 07116 - [B2647701] ([Cstons Check Depositing Procedures "eed Improveaent]. FGMSD-78-58; G-114898. September 2C .978. 4 pF. Report to Rep. Bill Gradison; by D. L. Scantlebury, Director, Financial and General Management Studies Div. Issue Area: Accounting and Financial Reporting: Collection of Amounts Owe.d (2803;, Contact: Financial 4nd General Management Studies Div. Budget Functio...
Date May 21, 1976 Report No. RED-76-109 Title

Agriculture and Food: Farmers Home Administration's Sale of Certificates of Beneficial Ownership to a Security Brokerage Firm

c UrwmSmCj GENERAL~~COUNT~NG OFFICE WASHINGTON, D.C. 205% R,XOVRCES DEVELOPMF’4f AND ECCWFMIC DIVISIW4 The Secretary Dear Mr. of Agriculture . ‘:,‘ .~ 1 lllllllllllllllllllllllllllll LM099344 Secretary: 1 ‘. 1 :< ., We have reviewed the Farmers Home Administraticn’s ITmHA’s) Novr:;tber 1974 sale pf $100 million of certificates .3f beneficial ownership (CBOs) to a security brokerage fir...