| Date |
Report No. |
Title |
| Date Nov. 10, 2011 |
Report No. GAO-12-151 |
Title
United States Government Accountability Office GAO
November 2011 Report to Congressional Addressees DODD-FRANK ACT REGULATIONS Implementation Could Benefit from Additional Analyses and Coordination GAO-12-151 November 2011 DODD-FRANK ACT REGULATIONS
Implementation Could Benefit from Additional Analyses and Coordination
Highlights of GAO-12-151, a report to congressional addressees Why GAO Did This... |
| 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 26, 2011 |
Report No. GAO-11-697 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees MUTUAL FUND ADVERTISING Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors GAO-11-697 July 2011 MUTUAL FUND ADVERTISING
Accountability • Integrity • Reliability Highlights of GAO-11-697, a report to congressional committees Improving How Regulat... |
| Date July 21, 2011 |
Report No. GAO-11-664 |
Title
United States Government Accountability Office Washington, DC 20548 B-321063 July 21, 2011 The Honorable Tim Johnson Chairman The Honorable Richard C. Shelby Ranking Member Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Spencer Bachus Chairman The Honorable Barney Frank Ranking Member Committee on Financial Services House of Representatives Subject: Securities ... |
| Date July 13, 2011 |
Report No. GAO-11-529 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees PROPRIETARY TRADING Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented GAO-11-529 July 2011 PROPRIETARY TRADING
Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented Highl... |
| Date July 11, 2011 |
Report No. GAO-11-623 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees PRIVATE FUND ADVISERS Although a SelfRegulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs GAO-11-623 July 2011 PRIVATE FUND ADVISERS
Accountability • Integrity • Reliability Highlights of GAO-11-623, a report to congressional committees Although a Self-R... |
| Date July 7, 2011 |
Report No. GAO-11-613 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees PERSON-TO-PERSON LENDING New Regulatory Challenges Could Emerge as the Industry Grows GAO-11-613 July 2011 PERSON-TO-PERSON LENDING
Accountability • Integrity • Reliability New Regulatory Challenges Could Emerge as the Industry Grows
Highlights of GAO-11-613, a report to congressional committees Why... |
| Date June 23, 2011 |
Report No. GAO-11-612 |
Title
United States Government Accountability Office GAO
June 2011 Report to Congressional Committees BANK REGULATION Modified Prompt Corrective Action Framework Would Improve Effectiveness GAO-11-612 June 2011 BANK REGULATION
Accountability • Integrity • Reliability Modified Prompt Corrective Action Framework Would Improve Effectiveness
Highlights of GAO-11-612, a report to congressional committees... |
| Date April 13, 2011 |
Report No. GAO-11-542R |
Title
United States Government Accountability Office Washington, DC 20548 April 13, 2011 The Honorable John D. Rockefeller, IV Chairman The Honorable Kay Bailey Hutchison Ranking Member Committee on Commerce, Science, and Transportation United States Senate The Honorable Peter T. King Chairman The Honorable Bennie G. Thompson Ranking Member Committee on Homeland Security House of Representatives Subject... |
| Date July 9, 2010 |
Report No. GAO-10-775 |
Title
United States Government Accountability Office GAO
July 2010 Report to the Special Committee on Aging, U.S. Senate LIFE INSURANCE SETTLEMENTS Regulatory Inconsistencies May Pose a Number of Challenges GAO-10-775 July 2010 LIFE INSURANCE SETTLEMENTS Highlights
Highlights of GAO-10-775, a report to the Special Committee on Aging, U.S. Senate Accountability Integrity Reliability Regulatory Inconsiste... |
| Date April 22, 2010 |
Report No. GAO-10-410 |
Title
United States Government Accountability Office GAO
April 2010 Report to Congressional Committees FINANCIAL REGULATION Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches GAO-10-410 April 2010 FINANCIAL REGULATION Highlights
Highlights of GAO-10-410, a report to congressional committees Accountability Integrity Reliability Clearer ... |
| 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 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 Sept. 22, 2009 |
Report No. GAO-09-1038T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EDT Tuesday, September 22, 2009 Testimony Before the Committee on Homeland Security and Governmental Affairs, U.S. Senate BIOSAFETY LABORATORIES BSL-4 Laboratories Improved Perimeter Security Despite Limited Action by CDC
Statement of Gregory D. Kutz, Managing Director Forensic Audits and Special Inve... |
| Date Sept. 17, 2009 |
Report No. GAO-09-949 |
Title
United States Government Accountability Office GAO
September 2009 Report to the Chairman, Subcommittee on National Security and Foreign Affairs, Committee on Oversight and Government Reform, House of Representatives NUCLEAR NONPROLIFERATION National Nuclear Security Administration Has Improved the Security of Reactors in its Global Research Reactor Program, but Action Is Needed to Address Remainin... |
| Date June 4, 2009 |
Report No. GAO-09-767T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EDT Thursday, June 4, 2009 Testimony Before the Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives EXPORT CONTROLS Fundamental Reexamination of System Is Needed to Help Protect Critical Technologies
Statement of Anne-Marie Lasowski, Director Acquis... |
| 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-09-677T |
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 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 19, 2009 |
Report No. GAO-09-499T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:30 p.m. EDT Wednesday, March 18, 2009 Testimony Before the Subcommittee on Securities, Insurance, and Investments, Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL REGULATION Review of Regulators’ Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Inst... |
| Date March 5, 2009 |
Report No. GAO-09-397T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Thursday, March 5, 2009 Testimony Before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises SYSTEMIC RISK Regulatory Oversight and Recent Initiatives to Address Risk Posed by Credit Default Swaps
Statement of Orice M. Williams, Director Financial Markets and Commu... |
| Date Feb. 27, 2009 |
Report No. GAO-09-85 |
Title
United States Government Accountability Office GAO
February 2009 Report to the Chairman, Committee on Homeland Security, House of Representatives COMMERCIAL VEHICLE SECURITY Risk-Based Approach Needed to Secure the Commercial Vehicle Sector GAO-09-85 February 2009 COMMERCIAL VEHICLE SECURITY Highlights
Highlights of GAO-09-85, a report to the Chairman, Committee on Homeland Security, House of Repr... |
| 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. 12, 2009 |
Report No. GAO-09-227 |
Title
United States Government Accountability Office GAO
February 2009 Report to the Permanent Subcommittee on Investigations, Committee on Homeland Security and Governmental Affairs, U.S. Senate BANK SECRECY ACT Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts GAO-09-227 February 2009 BANK SECRECY ACT Highlights
Highlights of GAO-09-227, a report to th... |
| Date Feb. 6, 2009 |
Report No. GAO-09-123R |
Title
United States Government Accountability Office Washington, DC 20548 February 6, 2009 The Honorable Robert C. Byrd Chairman The Honorable Thad Cochran Ranking Member Subcommittee on Homeland Security Committee on Appropriations United States Senate The Honorable David E. Price Chairman The Honorable Harold Rogers Ranking Member Subcommittee on Homeland Security Committee on Appropriations House of ... |
| 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 Oct. 23, 2008 |
Report No. GAO-09-61 |
Title
United States Government Accountability Office GAO
October 2008 Report to Congressional Requesters NUCLEAR SAFETY Department of Energy Needs to Strengthen Its Independent Oversight of Nuclear Facilities and Operations GAO-09-61 October 2008 NUCLEAR SAFETY Highlights
Highlights of GAO-09-61, a report to congressional requesters Accountability Integrity Reliability Department of Energy Needs to Stre... |
| Date Sept. 17, 2008 |
Report No. GAO-08-1092 |
Title
United States Government Accountability Office GAO
September 2008 Report to Congressional Committees BIOSAFETY LABORATORIES Perimeter Security Assessment of the Nation’s Five BSL-4 Laboratories GAO-08-1092 September 2008 BIOSAFETY LABORATORIES Highlights
Highlights of GAO-08-1092, a report to congressional committees Accountability Integrity Reliability Perimeter Security Assessment of the Natio... |
| Date Sept. 16, 2008 |
Report No. GAO-08-1075R |
Title
United States Government Accountability Office Washington, DC 20548 September 16, 2008 The Honorable James R. Langevin Chairman Subcommittee on Emerging Threats, Cybersecurity, and Science and Technology Committee on Homeland Security House of Representatives The Honorable Sheila Jackson-Lee Chairwoman Subcommittee on Transportation Security and Infrastructure Protection Committee on Homeland Secu... |
| Date Feb. 29, 2008 |
Report No. GAO-08-280 |
Title
United States Government Accountability Office GAO
February 2008 Report to the Chairman, Securities and Exchange Commission INFORMATION SECURITY Securities and Exchange Commission Needs to Continue to Improve Its Program GAO-08-280 February 2008 INFORMATION SECURITY Highlights
Highlights of GAO-08-280, a report to the Chairman, Securities and Exchange Commission Accountability Integrity Reliabilit... |
| Date Jan. 24, 2008 |
Report No. GAO-08-200 |
Title
United States Government Accountability Office GAO
January 2008 Report to Congressional Requesters HEDGE FUNDS Regulators and Market Participants Are Taking Steps to Strengthen Market Discipline, but Continued Attention Is Needed GAO-08-200 January 2008 HEDGE FUNDS Highlights
Highlights of GAO-08-200, a report to congressional requesters Accountability Integrity Reliability Regulators and Market P... |
| Date Nov. 15, 2007 |
Report No. GAO-08-33 |
Title
|
| Date June 13, 2007 |
Report No. GAO-07-716 |
Title
United States Government Accountability Office GAO
June 2007 Report to Congressional Requesters CREDIT DERIVATIVES Confirmation Backlogs Increased Dealers’ Operational Risks, but Were Successfully Addressed after Joint Regulatory Action GAO-07-716 June 2007 CREDIT DERIVATIVES Highlights
Highlights of GAO-07-716, a report to congressional requesters Accountability Integrity Reliability Confirmati... |
| Date March 29, 2007 |
Report No. GAO-07-399 |
Title
United States Government Accountability Office GAO
March 2007 Report to Congressional Requesters FINANCIAL MARKET PREPAREDNESS Significant Progress Has Been Made, but Pandemic Planning and Other Challenges Remain GAO-07-399 March 2007 FINANCIAL MARKET PREPAREDNESS Highlights
Highlights of GAO-07-399, a report to congressional requesters Accountability Integrity Reliability Significant Progress Has... |
| 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 Aug. 31, 2005 |
Report No. GAO-05-670 |
Title
United States Government Accountability Office GAO
August 2005 Report to Congressional Requesters SEC AND CFTC PENALTIES Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed GAO-05-670 a August 2005 SEC AND CFTC PENALTIES Highlights
Highlights of GAO-05-670, a report to congressional requesters Accountability Integrity Reliability Continued Progress Made in... |
| 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 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 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 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 Oct. 6, 2004 |
Report No. GAO-05-61 |
Title
United States Government Accountability Office GAO
October 2004 Report to the Chairman, Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL REGULATION Industry Changes Prompt Need to Reconsider U.S. Regulatory Structure GAO-05-61 a October 2004 FINANCIAL REGULATION Industry Changes Prompt Need to Reconsider U.S. Regulatory Structure Highlights of GAO-05-61, a report to the Chai... |
| Date Sept. 27, 2004 |
Report No. GAO-04-984 |
Title
United States Government Accountability Office GAO
September 2004 Report to the Committee on Energy and Commerce, House of Representatives FINANCIAL MARKET PREPAREDNESS Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters GAO-04-984 a September 2004 FINANCIAL MARKET PREPAREDNESS Improvements Made, but More Action Needed to Prepare for Wide-Scale Disasters Highlights of GAO... |
| 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 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... |
