| Date |
Report No. |
Title |
| Date Oct. 8, 2002 |
Report No. GAO-03-195T |
Title
United States General Accounting Office GAO Testimony
Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, House of Representatives For Release on Delivery Expected at 2:00 p.m., EDT, on Tuesday, October 8, 2002 CATASTROPHE INSURANCE RISKS The Role of Risk-Linked Securities
Statement of Davi M. D’Agostino, Director, Financial Markets and Community Investment ... |
| Date Sept. 24, 2002 |
Report No. GAO-02-941 |
Title
United States General Accounting Office GAO
September 2002 Report to the Chairman, Committee on Financial Services, House of Representatives CATASTROPHE INSURANCE RISKS The Role of Risk-Linked Securities and Factors Affecting Their Use GAO-02-941 a Contents Letter
Results in Brief Background Insurance and Reinsurance Markets Provide Catastrophe Risk Coverage and Capital Markets Add to Industry Cap... |
| Date March 5, 2002 |
Report No. GAO-02-302 |
Title
United States General Accounting Office GAO
March 2002 Report to Congressional Requesters SEC OPERATIONS Increased Workload Creates Challenges GAO-02-302 United States General Accounting Office G A O
Accountability Integrity Reliability SEC OPERATIONS Increased Workload Creates Challenges
Highlights of GAO-02-302, a report to Paul S. Sarbanes, Chairman, Committee on Banking, Housing, and Urban Aff... |
| Date Nov. 27, 2001 |
Report No. GAO-02-20 |
Title
United States General Accounting Office GAO
November 2001 Report to Congressional Requesters SECURITIES OPERATIONS Update on Actions Taken to Address Day Trading Concerns GAO-02-20 a A United States General Accounting Office Washington, D.C. 20548 November 27, 2001 Congressional Requesters In 1999, day trading1 began to receive intense scrutiny from state and federal regulators and the Congress be... |
| 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 March 1, 2000 |
Report No. T-GGD-00-96 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST on Wednesday March 1, 2000 Testimony
Before the Subcommittee on Finance and Hazardous Materials, House Committee on Commerce SECURITIES PRICING Progress and Challenges in Converting to Decimals
Statement of Davi M. D’Agostino Financial Institutions and Markets Issues General Government Division GAO/T-G... |
| 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 Jan. 19, 2000 |
Report No. AIMD/HEHS-00-56 |
Title
United States General Accounting Office GAO
January 2000 Report to the Ranking Minority Member, Subcommittee on Social Security, Committee on Ways and Means, House of Representatives SOCIAL SECURITY REFORM Information on the Archer-Shaw Proposal GAO/AIMD/HEHS-00-56 Contents Letter Appendixes
Appendix I: Criteria for Evaluating Social Security Reform Proposals Appendix II: The Economic Model and As... |
| 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 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 Feb. 24, 1999 |
Report No. HEHS-99-57R |
Title
GAO General Accounting Office Washington, D.C. 20548 Health, Education, and Human Services Division B-28 1997 February 24,1999 The Honorable William F. Goodling Chairman, Committee on Education and the Workforce House of Representatives The Honorable Howard P. M&eon Chairman, Subcommittee on Postsecondary Education, Training, and Lifelong Learning Committee on Education and the Workforce House of ... |
| Date May 8, 1998 |
Report No. T-GGD-98-121 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m., EDT on Friday May 8, 1998 Testimony
Before the Subcommittee on Finance and Hazardous Materials, Committee on Commerce House of Representatives SECURITIES PRICING Actions Needed for Conversion to Decimals
Statement of Thomas J. McCool Director, Financial Institutions and Markets Issues General Government Div... |
| Date March 11, 1998 |
Report No. GGD-98-48 |
Title
United States General Accounting Office GAO
March 1998 Report to the Chairman, Committee on Banking and Financial Services, House of Representatives GOVERNMENTSPONSORED ENTERPRISES Federal Oversight Needed for Nonmortgage Investments GAO/GGD-98-48 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-277819 March 11, 1998 The Honorable James A. Leach Chai... |
| 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 Nov. 28, 1997 |
Report No. HEHS-98-28 |
Title
United States General Accounting Office GAO
November 1997 Report to the Chairman, Committee on Ways and Means, House of Representatives 401(k) PENSION PLANS Extent of Plans’ Investments in Employer Securities and Real Property GAO/HEHS-98-28 GAO United States General Accounting Office Washington, D.C. 20548 Health, Education, and Human Services Division B-276106 November 28, 1997 The Honorable B... |
| Date June 27, 1997 |
Report No. GGD-97-137R |
Title
GAO Unjted States General Accounting Office Washington, D.C. 20548 General Government Division B-277287 June 27, 1997 _.._ The Honorable James A. Leach Chairman, Committee on Banking and Financial Services House of Representatives Subject: Housing Enterrxises: Jnvestment Author&v. Policies. md Practices Dear Mr. Chairman: In response to your request of April 10, 1997, we are conduct&g a review of ... |
| Date July 29, 1996 |
Report No. AIMD-96-135R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division B-262036 July 29, 1996 The Honorable Ricki Helfer Chairman, Board of Directors Federal Deposit Insurance Corporation Dear Madam Chairman: On July 2, 1996, we issued our opinions on the Resolution Trust Corporation's (RTC) '1995 financial statements and management's assertions regarding... |
| Date Dec. 12, 1995 |
Report No. AIMD-96-30R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division ” B-270721 December 12, 1995 The Honorable Sam Gibbons Ranking Minority Member Committee on Ways and Means House of Representatives Dear Mr. Gibbons: This letter responds to questions raised by your staff regarding actions taken to date by Secretary of the Treasury Rubin during the c... |
| Date Dec. 7, 1995 |
Report No. AIMD-96-20R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division B-270558 December 7, 1995 The. Honorable Nick Smith House of Representatives Dear Mr. Smith: This letter (1) provides information on options currently available to the Secretary of the Treasury to meet the federal government’s obligations and stay within the statutory limit on public... |
| Date Sept. 28, 1995 |
Report No. T-RCED-95-285 |
Title
United States General Accounting Office GAO
For Releaseon Delivery Expected at 10 am., EDT ThlXSday Sept.28, 1995 Testimony
Before the Small BusinessCommittee United StatesHouse of Representatives SMALL BUSINESS ADMINISTRATION Better Oversight of SBIC Programs Could Reduce Federal Losses
Statementof Judy A. England-Joseph, Director, Housing and Community DevelopmentIssues, Resources,Community,,and... |
| Date Sept. 22, 1995 |
Report No. GGD-95-230 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters MUTUAL FUNDS Impact on Bank Deposits and Credit Availability GAO/GGD-95-230 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259968 September 22, 1995 The Honorable James A. Leach Chairman The Honorable Henry B. Gonzalez Ranking Minority Member Committee on ... |
| Date Aug. 18, 1995 |
Report No. RCED-95-249FS |
Title
Z AO Fact Sheet for the Chair, Committee on Small Business, House of Representatives August 1995 SMALL BUSINESS SBA's Preferred Stock Repurchase Program GAO/RCED-95-249FS United States General Accounting Office Washington, D.C. 20548 Resources, Community, and Economic Development Division B-262173 August 18, 1995 The Honorable Jan Meyers Chair, Committee on Small Business House of Representatives ... |
| 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 March 28, 1995 |
Report No. T-RCED-95-145 |
Title
1. United S ta te s G e n e r a l A c c o u n tin g O ffice Y .. G A O
For R e l e a s e o n Delivery Expected at 1 0 a.m. E S T Tuesday March Z&l995 T e s tim o n y
B e fo r e th e C o m m itte e o n S m a ll Business, H o u s e o f R e p r e s e n ta tives SMALL BUSINESS A D M INIS T R A T IO N S ta tu s o f S m a ll B u sin e ss In v e s tm e n t C o m p a n ies
S ta te m e n t o f Jim W e lls,... |
| 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 Oct. 28, 1993 |
Report No. GGD-94-40 |
Title
United States General Accounting Office GAO
October 1993 Report to Congressional Committees FUTURES MARKETS A Futures Transaction Fee Is Administratively Feasible Y . GAO United States General Accounting OfTIce Washington, D.C. 20648 General Government Division B-255541 October 28,1993 The Honorable Patrick J. Leahy Chairman, Committee on Agriculture, Nutrition, and Forestry United States Senate T... |
| Date July 2, 1993 |
Report No. GGD-93-53R |
Title
- GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-253843 July 2, 1993 Donald W. Riegle Kent Conrad Thomas A. Daschle Carl M. Levin Howard M. Metzenbaum Ernest F. Hollfngs Harris Wofford Senate ill IllI llllllll
149512 The Honorable The Honorable The Honorable The Honorable The Honorable The Honorable The Honorable United States This letter responds ... |
| 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 Sept. 30, 1992 |
Report No. IMTEC-92-86R |
Title
Information Mmagement and Technow Dhhdon B-222177
147725 September 30, 1992 The Honorable John D. Dingell Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives Dear Mr. Chairman: In a letter dated June 25, 1992, you asked that we review several concerns of the Taxpayer Assets Project1 pertaining to public access to data within the Securiti... |
| Date Sept. 14, 1992 |
Report No. AFMD-92-54 |
Title
IJtritcd States Gmrtral Accounting Offiw GAO
Septcrtzlx!r 1992 Report to the Secretary of the ‘Treasury TREASURY TAX .,r-iND LOAN ACCOUNTS Changes in Collateral Practices Could Reduce the Federal Government’s Risk of 147527 - - I’ GAO United States Qeneral Accounting O!Xke Washington, D.C. 20648 Accounting and Financial Management Division
B-248490 September 14, 1992 The Honorable Nicholas F... |
| Date June 12, 1992 |
Report No. HRD-92-55 |
Title
3 Goker!nment Assistance.
I i,..‘ . . .’ I .2. .:. ‘ ._ . GAO .United States General Accounting OftIce Washington, D.C. 20648 /$+G a5 Human Resources Division B-24 7802 June 12, 1992 The Honorable John Conyers, Jr. Chairman, Committee on Government Operations House of Representatives Dear Mr. Chairman: You asked us for information on how pension funds help finance affordable housing’ for 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 Feb. 5, 1992 |
Report No. GGD-92-19 |
Title
-.... _.----_-_. .._..__..- ._.^_^... ..-... I __ ..^ . ___ _.-..-...-___-._.---_-_-..-- _ .___ __ ___ _ irrit,t~d St,at.w 12.7% 2. [ 3. I 1 No 1 Not applicable/ no stock. equipment. land or building purchases. or other assets purchasea J Don’t know , 50.6%
31.6% Has your company... I. made deposits ‘2. purchasedstock 3. purchased EDP equipment Ndl
Use’13 Yes (1) Sl.l%
9.6% No (2)
39.0%
17.... |
| Date Dec. 23, 1991 |
Report No. AFMD-92-10 |
Title
l_l .._, “_.I _ _,_..... _ GAO MARKET VALUE ACCOUNTING Debt Investment Securities Held by Banks 145765 RESTRICTED-Not to be release Bi&kd&Qe General Accounting Offlce unless specifically approved by the Office of Congressional Relations. (;AO,/AFMl)-!E&IO GAO United States General Accounting Office Washington, D.C. 20648 Accounting and Financial Management Division B-246857 December 23, 1991 The... |
| 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 Sept. 20, 1991 |
Report No. GGD-91-131 |
Title
United States General Accounting Office GAO
September 1991 Report to the Chairman, Subcommittee on General Oversight and Investigations, Committee on Banking, Finance and Urban Affairs, House of Representatives /u5a9 BANK POWERS Bank Holding Company Securities Subsidiaries’Market Activities Update GA0,KGI.h91431 Notice: I-- This is a reprint of a GAO report. GAO United States General Accounting ... |
| Date Sept. 16, 1991 |
Report No. GGD-91-107 |
Title
United States General Accounting Office Report to Congressional Requesters Scpt.cIrrtMtr 1991 LEVERAGED BUYOUTS Case Studies of Selected Leveraged Buyouts II lllulllllllN
144824 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-244418 September 16,lQQl The Honorable Timothy J. Penny House of Representatives Dear Mr. Penny: This responds to the request... |
| Date Sept. 10, 1991 |
Report No. RCED-91-181 |
Title
United States General Accounting Office GAO
September 1991 Report to the Chairman, Subcommittee on Conservation, Credit, and Rural Development, House of Representatives FEDERAL AGRICULTURAL MORTGAGE CORPORATION Secondary Market Development Slow and Future Uncertain n ‘ GAO/RCED-91-181 : GAO United States General Accounting Office Washington, DC. 20548 Resources, Community, Economic Development a... |
| 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 2, 1991 |
Report No. AFMD-91-49 |
Title
_.__._ ..__ ._..... ..-... ._....._ -_-- ..___ ___.. _..-.. -. GAO NCIAL AUDIT Resolution Funding Corporation’ 1989 s Financial Statements ._. 143522 . .I.. ..” .” .I_. ..- ..^.^ I_ .-...-.. -.- --_. -_-____ ----_ .__._. --.~-_I.~. 1~ GAO United States General Accounting Office Washington, D.C. 20648 Comptroller General of the United States B-242920 April 2,199l To the President of the Senat... |
| Date May 7, 1990 |
Report No. NSIAD-90-98 |
Title
-._, ..,“~-__-. _“”-__.. _.-. l..“_..l-.l-l-_- St.aI.w I ..__,__^._....._. _..I ._ .“. l.______l.__ IJ~riltvi .---______ (;t*,t~t~t’al At~ounfi~~g Of’fiw * ICcport,to the Chairman, S~~bc~ommittect ” on Oversight and Investigations, Commit,t,ee on Energy and Commerce, Housct of’ Ikprcsentatives
M;I . 1!)!)(I v INTERNATIONAL FINANCE Update on U.S. Commercial Banks’ Securities Act... |
| Date March 19, 1990 |
Report No. T-GGD-90-21 |
Title
United States General Accounting Office Testimony For Release on Delivery Expected at 1:30 E.S.T. Monday March 19, 1990 Activities of Bank of Securities Holding Companies Subsidiaries Statement of Richard L. Fogel Assistant Comptroller General Government General Programs Before the Subcommittee on General Oversight Investigations Committee on Banking, Finance and House of Representatives and Urban... |
| Date March 14, 1990 |
Report No. GGD-90-48 |
Title
I.I I..I .,l.l_l.___.. _.-.-.-.---. “l_,l, .., .““” .“ll-,..”I.” MitrcIi *. 1000 BANK POWERS Activities of Securities Subsidiaries of Bank Holding Companies United States General Accounting Office Washington, D.C. 20648 General Government Division B-237706 March 14,199O The Honorable Carroll Hubbard Chairman, Subcommittee on General Oversight and Investigations Committee on Banking, ... |
| 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 Jan. 5, 1990 |
Report No. IMTEC-90-15 |
Title
-n- - \ : / : ; ‘; L -=-----t &O United States General Accounting Office Washington, D.C. 20548 Information Technology Management Division and B-237674 January 5, 1990 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce IIouse of Representatives Dear Mr. Chairman: This report responds to your December 14, 1988, request and subs... |
| Date Oct. 19, 1989 |
Report No. GGD-90-19 |
Title
United States General Accounting Office ‘GAO
! Report to Congressional Committees ’ - TAX POLICY Allocation of Taxes Within the Life Insurance Industry G-0 $$i&z&iw~ , ..
General Government Division B-233706 October 19, 1989 The Honorable Fortney H. (Pete) Stark Chairman, Subcommittee on Health Committee on Ways and Means House of Representatives The Honorable Charles B. Range1 Chairman, Subco... |
| Date Aug. 1, 1989 |
Report No. HRD-89-121 |
Title
United States General Accounting Office GAO
August I Report to Congressional Requesters 1989 LEVERAGED BUY-OUT FUNDS Investments by Selected Pension Plans GAO/HRD-89-121 GAO United States General Accounting Office Washington, D.C. 20548 Human Resources Division B-2361 12 August 1, 1989 The Honorable William L. Clay Chairman, Subcommittee on LaborManagement Relations Committee on Education and Labo... |
| Date April 27, 1989 |
Report No. T-HRD-89-20 |
Title
United States General Accounthqf O!Xlce /-~fY 54 Testimony 138496 For Release On Delivery Expected at 9:30 a.m. EDT Thursday 27, 1989 April Pension Plans and Leveraged
Buy-Outs Statement of Joseph F. Delfico, Director Income Secur i ty Issues Hilman Resources Division Before the Subcommittee on Oversight Committee on Ways and Means House of Representatives of . GAO/T-HRD-89-20 / SUMMARY GAO is rev... |
