| Date |
Report No. |
Title |
| Date Nov. 14, 2011 |
Report No. GAO-12-49 |
Title
United States Government Accountability Office GAO
November 2011 Report to Congressional Requesters GINNIE MAE Risk Management and Cost Modeling Require Continuing Attention GAO-12-49 November 2011 GINNIE MAE
Risk Management and Cost Modeling Require Continuing Attention
Highlights of GAO-12-49, a report to congressional requesters Why GAO Did This Study
The Government National Mortgage Associatio... |
| Date Nov. 8, 2011 |
Report No. GAO-12-164 |
Title
United States Government Accountability Office GAO
November 2011 Report to the Secretary of the Treasury FINANCIAL AUDIT Bureau of the Public Debt’s Fiscal Years 2011 and 2010 Schedules of Federal Debt GAO-12-164 November 2011 FINANCIAL AUDIT
Bureau of the Public Debt’s Fiscal Years 2011 and 2010 Schedules of Federal Debt
Highlights of GAO-12-164, a report to the Secretary of the Treasury Why ... |
| Date Sept. 30, 2011 |
Report No. GAO-11-616 |
Title
United States Government Accountability Office GAO
September 2011 Report to Congressional Requesters FINANCIAL CRISIS Review of Federal Reserve System Financial Assistance to American International Group, Inc. GAO-11-616 September 2011 FINANCIAL CRISIS
Review of Federal Reserve System Financial Assistance to American International Group, Inc.
Highlights of GAO-11-616, a report to congressional req... |
| Date July 18, 2011 |
Report No. GAO-11-716 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees TROUBLED ASSET RELIEF PROGRAM The Government’s Exposure to AIG Following the Company’s Recapitalization GAO-11-716 July 2011 TROUBLED ASSET RELIEF PROGRAM
The Government’s Exposure to AIG Following the Company’s Recapitalization
Highlights of GAO-11-716, a report to congressional committees Why ... |
| Date May 19, 2011 |
Report No. GAO-11-557 |
Title
United States Government Accountability Office GAO
May 2011 Report to Congressional Requesters INFORMATION REPORTING IRS Could Improve Cost Basis and Transaction Settlement Reporting Implementation GAO-11-557 May 2011 INFORMATION REPORTING
Accountability • Integrity • Reliability IRS Could Improve Cost Basis and Transaction Settlement Reporting Implementation
Highlights of GAO-11-557, a report... |
| Date March 16, 2011 |
Report No. GAO-11-359T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT Wednesday, March 16, 2011 Testimony Before the Special Committee on Aging, U.S. Senate 401(K) PLANS Issues Involving Securities Lending in Plan Investments Statement of Charles A. Jeszeck, Acting Director Education, Workforce, and Income Security GAO-11-359T March 16, 2011 401(K) PLANS
Accountabili... |
| Date March 10, 2011 |
Report No. GAO-11-291 |
Title
United States Government Accountability Office GAO
March 2011 Report to the Chairman, Special Committee on Aging, U.S. Senate 401(K) PLANS Certain Investment Options and Practices That May Restrict Withdrawals Not Widely Understood GAO-11-291 March 2011 401(K) PLANS
Accountability • Integrity • Reliability Certain Investment Options and Practices That May Restrict Withdrawals Not Widely Unders... |
| 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-11-267R |
Title
United States Government Accountability Office Washington, DC 20548 January 18, 2011 The Honorable Tim Johnson The Honorable Richard C. Shelby United States Senate The Honorable Spencer Bachus Chairman The Honorable Barney Frank Ranking Member Committee on Financial Services House of Representatives Subject: Dodd-Frank Wall Street Reform Act: Role of the Governmental Accounting Standards Board in ... |
| Date Sept. 22, 2010 |
Report No. GAO-10-782 |
Title
United States Government Accountability Office GAO
September 2010 Report to Congressional Committees SECURITIES AND EXCHANGE COMMISSION Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures GAO-10-782 September 2010 SECURITIES AND EXCHANGE COMMISSION
Accountability • Integrity • Reliability Action Needed to Improve Rating Agency Registration Program an... |
| Date April 22, 2010 |
Report No. GAO-10-448R |
Title
United States Government Accountability Office Washington, DC 20548 April 22, 2010 The Honorable Dennis Moore Chairman Subcommittee on Oversight and Investigations Committee on Financial Services House of Representatives Subject: Securities and Exchange Commission: Information on Fair Fund Collections and Distributions Dear Mr. Chairman: The Securities and Exchange Commission’s (SEC) primary mis... |
| Date Oct. 26, 2009 |
Report No. GAO-10-8 |
Title
United States Government Accountability Office GAO
October 2009 Report to Congressional Requesters INFLUENZA PANDEMIC Key Securities Market Participants Are Making Progress, but Agencies Could Do More to Address Potential Internet Congestion and Encourage Readiness GAO-10-8 October 2009 INFLUENZA PANDEMIC Highlights
Highlights of GAO-10-8, a report to congressional requesters Accountability Integr... |
| Date Sept. 29, 2009 |
Report No. GAO-09-1049T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT Tuesday, September 29, 2009 Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL REGULATION Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
Statement of Richard J. Hillman, Managing Director Financial Markets and Community Investment G... |
| 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 May 7, 2009 |
Report No. GAO-09-613T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:30 p.m. EDT Thursday, May 7, 2009 Testimony Before the Subcommittee on Securities, Insurance, and Investment, Senate Committee on Banking, Housing, and Urban Affairs SECURITIES AND EXCHANGE COMMISSION Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforceme... |
| Date May 7, 2009 |
Report No. GAO-09-677T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 11:00 a.m. EDT Thursday, May 7, 2009 Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, House of Representatives HEDGE FUNDS Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
Statement of Orice M. Williams, Director Financial Market... |
| 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 April 2, 2009 |
Report No. GAO-09-376R |
Title
United States Government Accountability Office Washington, DC 20548 April 2, 2009 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission Subject: Management Report: Improvements Needed in SEC’s Internal Controls and Accounting Procedures Dear Ms. Schapiro: On November 14, 2008, we issued our opinion on the U.S. Securities and Exchange Commission’s (SEC) fiscal years 20... |
| Date March 24, 2009 |
Report No. GAO-09-503T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:30 a.m. EDT Tuesday, March 24, 2009 Testimony Before the Subcommittee on Health, Employment, Labor and Pensions, Education and Labor Committee, House of Representatives PRIVATE PENSIONS Conflicts of Interest Can Affect Defined Benefit and Defined Contribution Plans
Statement of Charles A. Jeszeck, Acting Dire... |
| Date March 16, 2009 |
Report No. GAO-09-203 |
Title
United States Government Accountability Office GAO
March 2009 Report to the Chairman, Securities and Exchange Commission INFORMATION SECURITY Securities and Exchange Commission Needs to Consistently Implement Effective Controls
This is a revised version of a prior report that was issued on March 16, 2009 with an incorrect attachment. GAO-09-203 March 2009 INFORMATION SECURITY Highlights
Highlights... |
| Date Feb. 26, 2009 |
Report No. GAO-09-318R |
Title
United States Government Accountability Office Washington, DC 20548 February 26, 2009 The Honorable Carl Levin Chairman Permanent Subcommittee on Investigations Committee on Homeland Security and Governmental Affairs United States Senate The Honorable Charles Grassley Ranking Member Committee on Finance United States Senate Subject: Securities and Exchange Commission: Oversight of U.S. Equities Ma... |
| Date Feb. 4, 2009 |
Report No. GAO-09-349T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 3:00 p.m. EST Wednesday, February 4, 2009 Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL REGULATION A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
Statement of Gene L. Dodaro Acting Comptroller General of t... |
| Date Jan. 21, 2009 |
Report No. GAO-09-314T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EST Wednesday, January 21, 2009 Testimony Before the Committee on Homeland Security and Governmental Affairs, U.S. Senate FINANCIAL REGULATION A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
Statement of Gene L. Dodaro Acting Comptroller Gener... |
| Date Jan. 14, 2009 |
Report No. GAO-09-310T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 9:00 a.m. EST Wednesday, January 14, 2009 Testimony Before the Congressional Oversight Panel FINANCIAL REGULATION A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
Statement of Gene L. Dodaro Acting Comptroller General of the United States GAO-09-310T Cha... |
| Date Jan. 8, 2009 |
Report No. GAO-09-216 |
Title
United States Government Accountability Office GAO
January 2009 Report to Congressional Addressees FINANCIAL REGULATION A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System GAO-09-216 January 2009 FINANCIAL REGULATION Highlights
Highlights of GAO-09-216, a report to congressional addressees Accountability Integrity Reliability A Framework for ... |
| Date Nov. 14, 2008 |
Report No. GAO-09-173 |
Title
United States Government Accountability Office GAO
November 2008 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2008 and 2007 GAO-09-173 a November 2008 FINANCIAL AUDIT Highlights
Highlights of GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Acco... |
| Date Nov. 7, 2008 |
Report No. GAO-09-44 |
Title
United States Government Accountability Office GAO
November 2008 Report to the Secretary of the Treasury FINANCIAL AUDIT Bureau of the Public Debt’s Fiscal Years 2008 and 2007 Schedules of Federal Debt GAO-09-44 a November 2008 FINANCIAL AUDIT Highlights
Highlights of GAO-09-44, a report to the Secretary of the Treasury Accountability Integrity Reliability Bureau of the Public Debt's Fiscal Year... |
| Date Sept. 9, 2008 |
Report No. GAO-08-946 |
Title
United States Government Accountability Office GAO
September 2008 Report to the Committee on Banking, Housing, and Urban Affairs, U.S. Senate SOVEREIGN WEALTH FUNDS Publicly Available Data on Sizes and Investments for Some Funds Are Limited GAO-08-946 September 2008 SOVEREIGN WEALTH FUNDS Highlights
Highlights of GAO-08-946, a report to the Committee on Banking, Housing, and Urban Affairs, U.S. Se... |
| Date July 24, 2008 |
Report No. GAO-08-779T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EDT Thursday, July 24, 2008 Testimony Before the Committee on Finance, U.S. Senate CAYMAN ISLANDS Business Advantages and Tax Minimization Attract U.S. Persons and Enforcement Challenges Exist
Statement of Michael Brostek, Director Strategic Issues GAO-08-779T July 24, 2008 CAYMAN ISLANDS Highlights
H... |
| Date July 24, 2008 |
Report No. GAO-08-778 |
Title
United States Government Accountability Office GAO
July 2008 Report to the Chairman and Ranking Member, Committee on Finance, U.S. Senate CAYMAN ISLANDS Business and Tax Advantages Attract U.S. Persons and Enforcement Challenges Exist GAO-08-778 July 2008 CAYMAN ISLANDS Highlights
Highlights of GAO-08-778, a report to the Chairman and Ranking Member, Committee on Finance, U.S. Senate Accountabilit... |
| Date July 24, 2008 |
Report No. GAO-08-1028SP |
Title
Cayman Islands: Review of Cayman Islands and U.S. Laws Applicable to U.S. Persons’ Financial Activity in the Cayman Islands, (GAO-08-1028SP), an E-supplement to GAO-08-778, July 2008)
Read the Full Report: Cayman Islands: Business and Tax Advantages Attract U.S. Persons but Enforcement Challenges Exist (GAO-08-778) Background Information The Cayman Islands is a major center for financial activit... |
| Date April 1, 2008 |
Report No. GAO-08-461R |
Title
United States Government Accountability Office Washington, DC 20548 April 1, 2008 The Honorable Christopher Cox Chairman U.S. Securities and Exchange Commission Subject: Internal Control: Improvements Needed in SEC’s Accounting and Financial Reporting Process Dear Mr. Cox: On November 16, 2007, we issued our report1 on the U.S. Securities and Exchange Commission’s (SEC) fiscal years 2007 and 2... |
| Date Nov. 16, 2007 |
Report No. GAO-08-167 |
Title
United States Government Accountability Office GAO
November 2007 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2007 and 2006 GAO-08-167 November 2007 FINANCIAL AUDIT Highlights
Highlights of GAO-08-167, a report to the Chairman, United States Securities and Exchange Commission Ac... |
| Date Nov. 7, 2007 |
Report No. GAO-08-168 |
Title
United States Government Accountability Office GAO
November 2007 Report to the Secretary of the Treasury FINANCIAL AUDIT Bureau of the Public Debt’s Fiscal Years 2007 and 2006 Schedules of Federal Debt GAO-08-168 a November 2007 FINANCIAL AUDIT Highlights
Highlights of GAO-08-168, a report to the Secretary of the Treasury Accountability Integrity Reliability Bureau of the Public Debt’s Fiscal ... |
| Date June 29, 2007 |
Report No. GAO-07-765 |
Title
United States Government Accountability Office GAO
June 2007 Report to Congressional Requesters CORPORATE SHAREHOLDER MEETINGS Issues Relating to Firms That Advise Institutional Investors on Proxy Voting GAO-07-765 June 2007 CORPORATE SHAREHOLDER MEETINGS Highlights
Highlights of GAO-07-765, a report to congressional requesters Accountability Integrity Reliability Issues Relating to Firms That Adv... |
| Date March 27, 2007 |
Report No. GAO-07-256 |
Title
United States Government Accountability Office GAO
March 2007 Report to the Chairman, Securities and Exchange Commission INFORMATION SECURITY Sustained Progress Needed to Strengthen Controls at the Securities and Exchange Commission GAO-07-256 March 2007 INFORMATION SECURITY Highlights
Highlights of GAO-07-256, a report to the Chairman, Securities and Exchange Commission Accountability Integrity R... |
| Date Nov. 15, 2006 |
Report No. GAO-07-134 |
Title
United States Government Accountability Office GAO
November 2006 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2006 and 2005 GAO-07-134 a November 2006 FINANCIAL AUDIT Highlights
Highlights of GAO-07-134, a report to Chairman of the Securities and Exchange Commission Accountabili... |
| Date Sept. 26, 2006 |
Report No. GAO-06-1007 |
Title
United States Government Accountability Office GAO
September 2006 Report to the Chairman, Committee on Ways and Means, House of Representatives DEBT MANAGEMENT Backup Funding Options Would Enhance Treasury’s Resilience to a Financial Market Disruption GAO-06-1007 September 2006 DEBT MANAGEMENT Highlights
Highlights of GAO-06-1007, a report to the Chairman, Committee on Ways and Means, House of R... |
| Date June 13, 2006 |
Report No. GAO-06-603 |
Title
United States Government Accountability Office GAO
June 2006 Report to the Committee on Finance, U.S. Senate CAPITAL GAINS TAX GAP Requiring Brokers to Report Securities Cost Basis Would Improve Compliance if Related Challenges Are Addressed GAO-06-603 a June 2006 CAPITAL GAINS TAX GAP Highlights
Highlights of GAO-06-603, a report to the Committee on Finance, U.S. Senate Accountability Integrity R... |
| Date Nov. 17, 2005 |
Report No. GAO-06-245T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10 a.m. EST Thursday, November 17, 2005 Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL PRODUCT SALES Actions Needed to Protect Military Members
Statement of Richard J. Hillman, Managing Director Financial Markets and Community Investment GAO-06-245T November 17, 2005... |
| Date Nov. 2, 2005 |
Report No. GAO-06-23 |
Title
United States Government Accountability Office GAO
November 2005 Report to the Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL PRODUCT SALES Actions Needed to Better Protect Military Members GAO-06-23 a November 2005 FINANCIAL PRODUCT SALES Highlights
Highlights of GAO-06-23, a report to the Committee on Banking, Housing, and Urban Affairs, U.S. Senate Accountability Integr... |
| Date July 27, 2005 |
Report No. GAO-05-691R |
Title
United States Government Accountability Office Washington, DC 20548 July 27, 2005 The Honorable Cynthia A. Glassman Acting Chairman U.S. Securities and Exchange Commission Subject: Material Internal Control Issues Reported in SEC’s Fiscal Year 2004 Financial Statement Audit Report Dear Ms. Glassman: In May 2005, we issued our report expressing an opinion on the Securities and Exchange Commission... |
| Date July 27, 2005 |
Report No. GAO-05-880T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:30 p.m. EST Wednesday, July 27, 2005 Testimony
Before the Subcommittee on Federal Financial Management, Government Information, and International Security, Committee on Homeland Security and Governmental Affairs, U.S. Senate SECURITIES AND EXCHANGE COMMISSION Results of Fiscal Year 2004 Financial Audit
Stateme... |
| 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 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 Aug. 4, 2004 |
Report No. GAO-04-1019R |
Title
United States Government Accountability Office Washington, DC 20548 August 4, 2004 The Honorable Jon S. Corzine United States Senate Subject: Environmental Disclosure: Briefing on GAO’s Findings and Recommendations Dear Senator Corzine: The Securities and Exchange Commission’s (SEC) primary mission is to protect investors and the integrity of securities markets. Among other things, SEC regulat... |
| Date July 9, 2004 |
Report No. GAO-04-848R |
Title
United States General Accounting Office Washington, DC 20548 July 9, 2004 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives The Honorable Barney Frank Ranking Minority Member Committee on Financial Services House of Representatives The Honorable Paul E. Kanjorski Ranking Minority Member Subcommittee on Capital Markets, Insurance and Gov... |
| Date Feb. 10, 2004 |
Report No. GAO-04-269T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Tuesday, February 10, 2004 Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate GOVERNMENTSPONSORED ENTERPRISES A Framework for Strengthening GSE Governance and Oversight
Statement of David M. Walker Comptroller General of the United States GAO-04-269T Tuesday, February 10, ... |
| Date Oct. 16, 2003 |
Report No. GAO-04-116 |
Title
United States General Accounting Office GAO
October 2003 Report to Congressional Requesters FARMER MAC Some Progress Made, but Greater Attention to Risk Management, Mission, and Corporate Governance Is Needed GAO-04-116 a October 2003 FARMER MAC Some Progress Made, but Greater Attention to Risk Management, Mission, and Corporate Governance Is Needed Highlights of GAO-04-116, a report to congressio... |
| Date Dec. 19, 2002 |
Report No. GAO-03-339 |
Title
United States General Accounting Office GAO
December 2002 Report to Congressional Requesters SECURITIES AND EXCHANGE COMMISSION Actions Needed to Improve Public Company Accounting Oversight Board Selection Process GAO-03-339 December 2002 SECURITIES AND EXCHANGE COMMISSION
Highlights of GAO-03-339, a report to the Chairman, Senate Banking, Housing, and Urban Affairs Committee; Ranking Minority Mem... |
