| Date |
Report No. |
Title |
| Date July 11, 2003 |
Report No. GAO-03-811 |
Title
United States General Accounting Office GAO
July 2003 Report to Congressional Requesters SECURITIES INVESTOR PROTECTION Update on Matters Related to the Securities Investor Protection Corporation GAO-03-811 a July 2003 SECURITIES INVESTOR PROTECTION Update on Matters Related to the Securities Investor Protection Corporation Highlights of GAO-03-811, a report to congressional requesters As result o... |
| Date Feb. 12, 2003 |
Report No. GAO-03-251 |
Title
United States General Accounting Office GAO
February 2003 Report to Congressional Requesters POTENTIAL TERRORIST ATTACKS Additional Actions Needed to Better Prepare Critical Financial Market Participants GAO-03-251 a February 2003 POTENTIAL TERRORIST ATTACKS Additional Actions Needed to Better Prepare Critical Financial Market Participants Highlights of GAO-03-251, a report to Congressional Reques... |
| Date Feb. 12, 2003 |
Report No. GAO-03-414 |
Title
United States General Accounting Office GAO
February 2003 Report to the Committee on Financial Services, House of Representatives POTENTIAL TERRORIST ATTACKS Additional Actions Needed to Better Prepare Critical Financial Market Participants GAO-03-414 a February 2003 POTENTIAL TERRORIST ATTACKS Additional Actions Needed to Better Prepare Critical Financial Market Participants Highlights of GAO-03-... |
| Date Feb. 12, 2003 |
Report No. GAO-03-468T |
Title
United States General Accounting Office GAO Testimony
Before the House Committee on Financial Services, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises For Release on Delivery Expected at 3:00 p.m., EDT on Wednesday, February 12, 2003 POTENTIAL TERRORIST ATTACKS More Actions Needed to Better Prepare Critical Financial Markets
Statement of Davi M. D’Agostino Direc... |
| Date July 12, 2002 |
Report No. GAO-02-771 |
Title
United States General Accounting Office GAO
July 2002 Report to Congressional Requesters SEC ENFORCEMENT More Actions Needed to Improve Oversight of Disgorgement Collections GAO-02-771 a Contents Letter
Results in Brief Background SEC’s Reported Collection Rate Is Not an Effective Measure of SEC’s Collection Efforts SEC Lacks Strategic Guidance, Clear Policies and Procedures, and an Effective ... |
| Date May 3, 2002 |
Report No. GAO-02-362 |
Title
United States General Accounting Office GAO
May 2002 Report to Congressional Committees SECURITIES MARKETS Competition and Multiple Regulators Heighten Concerns about Self-Regulation GAO-02-362 Contents Letter
Results in Brief Background Increased Competition Has Heightened Some Market Participants’ Concerns about Conflicts of Interest Some Broker-Dealers Were Concerned about Rule Differences an... |
| 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-02-18 |
Title
United States General Accounting Office GAO
November 2001 Report to the Ranking Minority Member, Energy and Commerce Committee, House of Representatives SECURITIES REGULATION Improvements Needed in the Amex Listing Program GAO-02-18 Contents Letter
Results in Brief Background Listing Requirements Have Generally Addressed the Same Factors, but Amex Has Not Required That All Quantitative Requirement... |
| 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 Oct. 10, 2001 |
Report No. GAO-02-111 |
Title
United States General Accounting Office GAO
October 2001 Report to the Chairman, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate ANTI-MONEY LAUNDERING Efforts in the Securities Industry GAO-02-111 a Contents Letter
Results in Brief Background The Securities Industry Is Viewed as a Potential Target, but the Extent of Actual Money Laundering Is Unknown Broker... |
| 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 July 25, 2001 |
Report No. GAO-01-863 |
Title
United States General Accounting Office GAO
July 2001 Report to the Ranking Minority Member, Committee on Energy and Commerce, House of Representatives INFORMATION SYSTEMS Opportunities Exist to Strengthen SEC's Oversight of Capacity and Security GAO-01-863 Contents Letter
Results in Brief Background Scope and Methodology SEC Uses a Wide Range of Criteria but Lacks a Consolidated Guide for Plannin... |
| Date July 20, 2001 |
Report No. GAO-01-858 |
Title
United States General Accounting Office GAO
July 2001 Report to Congressional Requesters ON-LINE TRADING Investor Protections Have Improved but Continued Attention Is Needed GAO-01-858 Contents Letter
Results in Brief Background Scope and Methodology On-line Trading Activity and Complaints Involving On-line Trading Peaked in the First Quarter of 2000 Regulators Have Taken Substantial Action to Enh... |
| Date July 13, 2001 |
Report No. GAO-01-900 |
Title
United States General Accounting Office GAO
July 2001 Report to the Ranking Minority Member, Committee on Energy and Commerce, House of Representatives SEC AND CFTC Most Fines Collected, but Improvements Needed in the Use of Treasury’s Collection Service GAO-01-900 Contents Letter
Results in Brief Background Scope and Methodology Regulators’ Collection Rates Have Generally Improved, but Impact... |
| Date June 14, 2001 |
Report No. GAO-01-718 |
Title
United States General Accounting Office GAO
June 2001 Report to the Ranking Minority Member, Subcommittee on Financial Institutions, Committee on Banking, Housing, and Urban Affairs, U.S. Senate SECURITIES AND EXCHANGE COMMISSION Reviews of Accounting Matters Related to Public Filings GAO-01-718 United States General Accounting Office Washington, DC 20548 June 14, 2001 The Honorable Robert F. Benn... |
| Date May 25, 2001 |
Report No. GAO-01-653 |
Title
United States General Accounting Office GAO
May 2001 Report to the Ranking Minority Member, Energy and Commerce Committee, House of Representatives SECURITIES INVESTOR PROTECTION Steps Needed to Better Disclose SIPC Policies to Investors GAO-01-653 Contents Letter Executive Summary 1 3 Chapter 1 Introduction
SIPC’s Mission, Organization, Funding, and Oversight SIPC Protection Versus Federal Depo... |
| Date April 27, 2001 |
Report No. GAO-01-654R |
Title
United States General Accounting Office Washington, DC 20548 April 27, 2001 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey House of Representatives Subject: Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Our June 2000 report, Securities Arbitration: Actions Needed to Addre... |
| Date March 22, 2001 |
Report No. GAO-01-474 |
Title
United States General Accounting Office GAO
March 2001 Report to the Honorable Carl Levin, Ranking Member, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate MONEY LAUNDERING Oversight of Suspicious Activity Reporting at Bank-Affiliated Broker-Dealers GAO-01-474 Contents Letter
Results in Brief Background Objectives, Scope, and Methodology Federal Bank Regulat... |
| Date March 6, 2001 |
Report No. GAO-01-478T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT on Tuesday March 6, 2001 Testimony
Before the Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services House of Representatives FINANCIAL SERVICES REGULATORS Better Information Sharing Could Reduce Fraud
Statement of R... |
| Date Nov. 9, 2000 |
Report No. GAO-01-162R |
Title
United States General Accounting Office Washington, D.C. 20548 November 9, 2000 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives Dear Mr. Dingell: Subject: Procedures for Updating Arbitrator Disclosure Information This report responds to your March 23, 2000, request that we evaluate the effectiveness of the National Association of Securities Deal... |
| Date Sept. 29, 2000 |
Report No. GGD-00-190 |
Title
United States General Accounting Office GAO
September 2000 Report to the Chairman, Committee on Small Business, U.S. Senate SMALL BUSINESS Efforts to Facilitate Equity Capital Formation GAO/GGD-00-190 United States General Accounting Office Washington, D.C. 20548 General Government Division B-283890 September 29, 2000 The Honorable Christopher S. Bond Chairman, Committee on Small Business United S... |
| Date Sept. 20, 2000 |
Report No. GGD/AIMD-00-319 |
Title
United States General Accounting Office GAO
September 2000 Report to Congressional Requesters SECURITIES PRICING Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay GAO/GGD/AIMD-00-319 United States General Accounting Office Washington, D.C. 20548 General Government Division B-285368 September 20, 2000 The Honorable Thomas J. Bliley, Jr. Chairman, Committee on Commerce House o... |
| Date Aug. 15, 2000 |
Report No. GGD-00-189R |
Title
United States General Accounting Office Washington, D.C. 20548 General Government Division B-285158 August 15, 2000 The Honorable Vito Fossella House of Representatives Subject: Expenditures and Revenues of State Securities Regulatory Agencies Dear Mr. Fossella: This letter provides information you requested on expenditures and revenues of state securities regulatory agencies for fiscal years 1998... |
| Date June 15, 2000 |
Report No. GGD-00-115 |
Title
United States General Accounting Office GAO
June 2000 Report to Congressional Requesters SECURITIES ARBITRATION Actions Needed to Address Problem of Unpaid Awards GAO/GGD-00-115 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281372 June 15, 2000 The Honorable John D. Dingell Ranking Minority Member, Committee on Commerce House of Representatives The Ho... |
| Date June 7, 2000 |
Report No. GGD-00-126 |
Title
United States General Accounting Office GAO
June 2000 Report to the Chairman, Subcommittee on Finance and Hazardous Materials; and the Ranking Member, Committee on Commerce, House of Representatives MUTUAL FUND FEES Additional Disclosure Could Encourage Price Competition GAO/GGD-00-126 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281444 June 5, 2000 ... |
| Date May 9, 2000 |
Report No. GGD-00-43 |
Title
United States General Accounting Office GAO
May 2000 Report to the Congressional Requesters ON-LINE TRADING Better Investor Protection Information Needed on Brokers’ Web Sites GAO/GGD-00-43 United States General Accounting Office Washington, D.C. 20548 General Government Division B-283098 May 9, 2000 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce The Honorable Ron Kl... |
| Date May 5, 2000 |
Report No. GGD-00-99 |
Title
United States General Accounting Office GAO
May 2000 Report to Congressional Requesters COMMODITY EXCHANGE ACT Issues Related to the Regulation of Electronic Trading Systems GAO/GGD-00-99 United States General Accounting Office Washington, D.C. 20548 General Government Division B-284243 May 5, 2000 The Honorable Richard G. Lugar Chairman Committee on Agriculture, Nutrition and Forestry United Stat... |
| Date April 6, 2000 |
Report No. GGD-00-89 |
Title
United States General Accounting Office GAO
April 2000 Report to Congressional Requesters CFTC AND SEC Issues Related to the Shad-Johnson Jurisdictional Accord GAO/GGD-00-89 United States General Accounting Office Washington, D.C. 20548 General Government Division B-284260 April 6, 2000 The Honorable Richard G. Lugar Chairman, Committee on Agriculture, Nutrition and Forestry United States Senate T... |
| 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 Feb. 4, 2000 |
Report No. AIMD-00-54R |
Title
United States GeneraI Accounting Washington, DC 20548 Office Accounting and Information Management Division B-284292 February 4,200O The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives Subject: Securities Exchange Act: Review of Renorting Dear Mr. Dingell: This letter responds to your request that we review reporting under Section 1OA of the Securit... |
| Date Jan. 21, 2000 |
Report No. GGD-00-46 |
Title
United States General Accounting Office GAO
January 2000 Report to the Chairman, Subcommittee on Capital Markets, Securities and GSEs, Committee on Banking and Financial Services, House of Representatives FINANCIAL REGULATORY COORDINATION The Role and Functioning of the President’s Working Group GAO/GGD-00-46 United States General Accounting Office Washington, D.C. 20548 General Government Divis... |
| 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 May 5, 1999 |
Report No. GGD-99-74 |
Title
United States General Accounting Office GAO
May 1999 Report to Congressional Committees THE COMMODITY EXCHANGE ACT Issues Related to the Commodity Futures Trading Commission’s Reauthorization GAO/GGD-99-74 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-281936 May 5, 1999 The Honorable Richard G. Lugar Chairman Committee on Agriculture, Nutrition ... |
| Date April 30, 1999 |
Report No. GGD-99-87 |
Title
United States General Accounting Office GAO
April 1999 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives YEAR 2000 State Insurance Regulators Face Challenges in Determining Industry Readiness GAO/GGD-99-87 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-281368 April 30, 1999 The Honorable John D. Dingell Ranking ... |
| Date April 26, 1999 |
Report No. GGD-99-53 |
Title
United States General Accounting Office GAO
April 1999 Report to the Ranking Minority Member Committee on Commerce House of Representatives SECURITIES REGULATION Actions Taken to Improve Nasdaq Listing Procedures GAO/GGD-99-53 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-281373 April 26, 1999 The Honorable John D. Dingell Ranking Minority Member ... |
| Date March 11, 1999 |
Report No. T-GGD-99-56 |
Title
United States General Accounting Office GAO
Not to be Released Before 9:30 a.m., EST Thursday, March 11, 1999 Testimony
Before the Special Committee on the Year 2000 Technology Problem U. S. Senate INSURANCE INDUSTRY Regulators Are Less Active in Encouraging and Validating Year 2000 Preparedness
Statement for the Record by Richard J. Hillman, Associate Director Financial Institutions and Markets I... |
| Date Nov. 2, 1998 |
Report No. GGD-99-8 |
Title
United States General Accounting Office GAO
November 1998 Report to Congressional Committees MONEY PENALTIES Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data GAO/GGD-99-8 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-275115 November 2, 1998 The Honorable Alfonse M. D’Amato Chairman The Honorable Paul ... |
| Date Sept. 30, 1998 |
Report No. GGD-98-204 |
Title
United States General Accounting Office GAO
September 1998 Report to Congressional Committees SEC ENFORCEMENT Responses to GAO and SEC Recommendations Related to Microcap Stock Fraud GAO/GGD-98-204 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-279399 September 30, 1998 The Honorable Susan M. Collins Chairman The Honorable John Glenn Ranking Minori... |
| Date Aug. 31, 1998 |
Report No. GGD-98-194 |
Title
United States General Accounting Office GAO
August 1998 Report to Congressional Requesters SECURITIES MARKET OPERATIONS The Effects of SOES on the Nasdaq Market GAO/GGD-98-194 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-278412 August 31, 1998 The Honorable Charles E. Schumer House of Representatives The Honorable Gary L. Ackerman House of Repres... |
| Date Aug. 28, 1998 |
Report No. GGD-98-193 |
Title
United States General Accounting Office GAO
August 1998 Report to Congressional Requesters CFTC ENFORCEMENT Actions Taken to Strengthen the Division of Enforcement GAO/GGD-98-193 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-278746 August 28, 1998 The Honorable Robert F. Smith Chairman Committee on Agriculture House of Representatives The Honorabl... |
| Date July 20, 1998 |
Report No. GGD-98-153 |
Title
United States General Accounting Office GAO
July 1998 Report to the Chairman, Committee on Banking, Housing, and Urban Affairs, U. S. Senate, and the Chairman, Committee on Banking and Financial Services, House of Representatives RISK-BASED CAPITAL Regulatory and Industry Approaches to Capital and Risk GAO/GGD-98-153 GAO United States General Accounting Office Washington, D.C. 20548 General Govern... |
| 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 Feb. 6, 1998 |
Report No. GGD-98-45 |
Title
United States General Accounting Office GAO
February 1998 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives SECURITIES REGULATION Oversight of SRO’s Listing Procedures Could Be Improved GAO/GGD-98-45 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-277217 February 6, 1998 The Honorable John D. Dingell Ranking Mi... |
| Date Feb. 1, 1998 |
Report No. AA-98-6(1) |
Title
United et&es General Accounting Office ‘GAO
February 1998 , General Government Division ‘. Financial Institutions and Markets Issue Area ) Active Assignments < GAO/AA-98-6( 1) Foreword This report was prepared primarily to inform Congressional members and key staff of ongoing assignments in the General Accounting Office’s Financial Institutions and Markets issue area. This report contains as... |
| Date Oct. 22, 1997 |
Report No. T-GGD-98-17 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 3:00 p.m., EDT on Wednesday October 22, 1997 Testimony
Before the Subcommittee on Risk Management and Specialty Crops, Committee on Agriculture House of Representatives RESULTS ACT Observations on CFTC’s Strategic Plan
Statement of Richard J. Hillman, Acting Associate Director Financial Institutions and Markets Issue... |
| Date Oct. 2, 1997 |
Report No. GGD-98-5 |
Title
United States General Accounting Office GAO
October 1997 Report to the Honorable Edward J. Markey, House of Representatives OTC DERIVATIVES Additional Oversight Could Reduce Costly Sales Practice Disputes GAO/GGD-98-5 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259982 October 2, 1997 The Honorable Edward J. Markey House of Representatives Dear M... |
| Date June 20, 1997 |
Report No. GGD-97-73 |
Title
|
| Date June 10, 1997 |
Report No. OCE-97-3R |
Title
United States General Accounting Office Washington, D.C. 20548 Office of the Chief Economist B-277357 June IO, 1997 The Honorable Richard H. Baker Chairman, Subcommittee on Capital Markets, Securities and Government-Sponsored Enterprises Dear Mr. Chairman: This letter includes our responses to the questions attached to your May 16th letter concerning the issue of mixing banking and commerce. We ho... |
