| Date |
Report No. |
Title |
| Date May 28, 1997 |
Report No. GGD-97-67 |
Title
United States General Accounting Office GAO
May 1997 Report to Congressional Committees MUTUAL FUNDS SEC Adjusted Its Oversight in Response to Rapid Industry Growth GAO/GGD-97-67 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-271654 May 28, 1997 The Honorable Alfonse M. D’Amato Chairman The Honorable Paul S. Sarbanes Ranking Minority Member Commi... |
| Date April 7, 1997 |
Report No. GGD-97-50 |
Title
United States General Accounting Office GAO
April 1997 Report to Congressional Committees THE COMMODITY EXCHANGE ACT Legal and Regulatory Issues Remain GAO/GGD-97-50 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259983 April 7, 1997 The Honorable Richard G. Lugar Chairman The Honorable Tom Harkin Ranking Minority Member Committee on Agriculture, N... |
| Date Nov. 27, 1996 |
Report No. NSIAD-97-27 |
Title
United States General Accouting Office GAO
November 1996 Reportto the Chairman,Committeeon International elations,House of R Representatives FOREIGN ASSIST~CE Hmard Institute for International Development’s Workin RussiaandUhaine c A o GAO~SM-97-27 I GAO United States General Accounting Office Washington, D.C. 20548 National Securi@ and International Affairs Division B-275086 November 27, 1996 G... |
| Date Nov. 1, 1996 |
Report No. GGD/AIMD-97-8 |
Title
United States General Accounting Office GAO
November 1996 Report to Congressional Committees FINANCIAL DERIVATIVES Actions Taken or Proposed Since May 1994 G A O years
1921 - 1996 GAO/GGD/AIMD-97-8 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-260656 November 1, 1996 The Honorable Richard G. Lugar Chairman The Honorable Patrick J. Leahy Ranking Mi... |
| Date Sept. 25, 1996 |
Report No. GGD-96-177 |
Title
United States General Accounting Office GAO
September 1996 Report to Congressional Requesters FUTURES MARKETS Heightened Audit Trail Standards Not Met But Progress Continues G A O years
1921 - 1996 GAO/GGD-96-177 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-261761 September 25, 1996 The Honorable Richard G. Lugar Chairman The Honorable Patrick J.... |
| Date Sept. 24, 1996 |
Report No. AIMD-96-98A |
Title
United States General Accounting Office GAO
September 1996 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives THE ACCOUNTING PROFESSION Appendixes to Major Issues: Progress and Concerns G A O years
1921 - 1996 GAO/AIMD-96-98A GAO United States General Accounting Office Washington, D.C. 20548 Comptroller General of the United States B-258991 September 24, 1996 Th... |
| Date Sept. 24, 1996 |
Report No. AIMD-96-98 |
Title
United States General Accounting Office GAO
September 1996 Report to the Ranking Minority Member, Committee on Commerce, House of Representatives THE ACCOUNTING PROFESSION Major Issues: Progress and Concerns G A O years
1921 - 1996 GAO/AIMD-96-98 GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division B-258991 September 24, 1996 The Honorab... |
| Date Aug. 19, 1996 |
Report No. GGD-96-171 |
Title
United States General Accounting Office GAO
August 1996 Report to Congressional Requester NASD TELEPHONE HOTLINE Enhancements Could Help Investors Be Better Informed About Brokers’ Disciplinary Records G A O years
1921 - 1996 GAO/GGD-96-171 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259990 August 19, 1996 The Honorable Edward J. Markey Rankin... |
| Date June 26, 1996 |
Report No. T-GGD-96-141 |
Title
United States General Accounting Office GAO
Not to be Released Before 10:00 a.m. EDT Wednesday June 26, 1996 Testimony
Before the Subcommittee on Capital Markets Securities and Government Sponsored Enterprises Committee on Banking and Financial Services House of Representatives BANK MUTUAL FUNDS Improvements in Risk Disclosure Needed
Statement for the Record of James L. Bothwell, Director Financia... |
| Date June 6, 1996 |
Report No. GGD-96-5 |
Title
United States General Accounting Office GAO
June 1996 Report to the Chairman, Securities and Exchange Commission INITIAL PUBLIC OFFERINGS Guidance Needed on Disclosure of Underwriters’ Disciplinary Histories G A O years
1921 - 1996 GAO/GGD-96-5 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259973 June 6, 1996 The Honorable Arthur Levitt Chairman... |
| Date May 1, 1996 |
Report No. IAP-96-11 |
Title
United States General 156’ 7’ 2’ 3 Accounting Office General Government Division May 1996 Financial Institutions and Markets Issue Area Plans Fiscal Years 1997-98 GAO/IAP-96-11 Foreword As the investigtive arm of Congress and the nation’ auditor, the General s Accounting Office is charged with following the federal dollar wherever it goes. Reflecting stringent standards of objectivity and ... |
| Date March 25, 1996 |
Report No. GGD-96-98R |
Title
GAO WasGeneral Accounting Office2 Washington,
D.C. 20548 0 5 48 156663 16l General Government Division B-271498 March 25, 1996 Majority Leader House of Representatives Dear Mr. Armey: This letter responds to your request for information regarding the benefits that the U.S. government has conferred upon the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corpor... |
| Date Jan. 2, 1996 |
Report No. AA-96-6(1) |
Title
United States General Accounting Office GAO
J,-muary 1996 General Government Division o Financial Institutions
and Markets Issue Area Active Assignments GAO/AA-96-6(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 assignments that ... |
| Date Nov. 14, 1995 |
Report No. GGD-96-27 |
Title
United States General Accounting Office GAO
November 1995 Report to the Ranking Minority Member, Subcommittee on Oversight and Investigations, Committee on Commerce, House of Representatives ADMINISTRATIVE LAW JUDGES Comparison of SEC and CFTC Programs GAO/GGD-96-27 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259884 November 14, 1995 The Honorab... |
| Date Oct. 25, 1995 |
Report No. T-GGD-96-36 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10100a.m., EDT on Wednesday October 25,1995 Testimony
Before the Subcomn-tittee on Capital Markets, Securities, and GSEs, Committee on Banking and F’inancial Services House of Representatives CFTC/SECENFORCEMENT PROGRAMS
Status and Potential Impaet of a Merger
Statement of James L. Bothwell Director, Financial Instit... |
| Date Oct. 1, 1995 |
Report No. AA-95-7(4) |
Title
United States General Accounting Office GAO
October 1995_ General Government Division Financial Institutions
and Markets Issue Area Active Assignments ,_ 0653A/A9 -/7(4
GAO/AA-95-7(4) 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 a... |
| Date Sept. 27, 1995 |
Report No. GGD-95-210 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters BANK MUTUAL FUNDS Sales Practices and Regulatory Issues GAO/GGD-95-210 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259882 September 27, 1995 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives The Honorab... |
| Date Sept. 21, 1995 |
Report No. GGD-95-214 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters BANKS’ SECURITIES ACTIVITIES Oversight Differs Depending on Activity and Regulator GAO/GGD-95-214 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259498 September 21, 1995 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House o... |
| Date Sept. 18, 1995 |
Report No. AIMD-95-230 |
Title
United States General Accounting Office GAO
September 1995 Report to the Honorable Hank Brown, U.S. Senate DENVER INTERNATIONAL AIRPORT Information on Selected Financial Issues GAO/AIMD-95-230 GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division B-260619 September 20, 1995 The Honorable Hank Brown United States Senate Dear Senator Brown:... |
| Date July 1, 1995 |
Report No. AA-95-7(3) |
Title
United States General Accounting Office GAO General Government Division July 1995 Financial Institutions * * and Markets Issue Area Active Assignments /(72o 0('4 W7/t-5 GAO/AA-95-7(3) I ,I 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 conta... |
| 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 May 3, 1995 |
Report No. T-GGD-95-153 |
Title
United States General Accounting Office GAO
For Releaseon Delivery Expectedat IO:00a.m., EDT Wednesday May 3, 1995 Testimony
Before the Subcommittee on Capital Markets, Securities and GSEs, House Committee on Banking and Financial Services House of Representatives FINANCIAL MARKET REGULATION Benefits and Risks of Merging SEC and CFTC
Statement of James L. Bothwell Director, Financial Institutions ... |
| Date Dec. 21, 1994 |
Report No. AIMD-95-22 |
Title
United States General Accounting Office GAO
December 1994 Report to the Chairman and Ranking Minority Member, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives FINANCIAL MARKETS Stronger System Controls and Oversight Needed to Prevent NASD Computer Outages GAO/AIMD-95-22 GAO United States General Accounting Office Washington, D.C. 20548 Acco... |
| Date Sept. 14, 1994 |
Report No. GGD-94-208 |
Title
rs United States General Accounting Office Washington, D.C. 20648 General B-258276 Government Division September 14,1994 The Honorable John D. Dingell Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and F’ inance Committee on Energy and Commerce House of Re... |
| Date Sept. 14, 1994 |
Report No. T-GGD-94-190 |
Title
United States General Accounting Offke ! Testimony
Before the Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce House of Representatives 1
[ For Releaseon Delivery Expectedat 9:30 a.m., EDT on Wednesday September1~41994 SECURITIES MARKETS Actions Needed to Better Protect Investors Against Unscrupulous Brokers
Statement of James L. Bothwell Director, Financial Institu... |
| Date Aug. 25, 1994 |
Report No. AIMD-94-165R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 Accounting and Information Management Division B-258225 August 25, 1994 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Representatives Dear Mr. Chairman: In your January 26, 1994, letter, you asked us to obtain information on (1) what the Department ... |
| Date Aug. 23, 1994 |
Report No. GGD-94-188 |
Title
United States General Accounting Offhe GAO
August 1994 j Report to the Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives SECURITIES ENFORCEMENT Improvements Needed in SEC Controls Over Disgorgement Cases GAO/GED-94-188 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-256910 August 23,1994... |
| Date June 23, 1994 |
Report No. T-GGD-94-170 |
Title
United States General Accomting Office / Testimony
Before the Committee on Banking, Finance and Urban Affaks House of Representatives For Release on Delivery Expectedat 10:OOam.,EJlT m&Y he 23,1994 FINANCIALDERIVATIVES Actions Needed to Protect the Financial System
Statement of Charles A. Bowsher Comptroller General of the United States E , Mr. Chairman and Members of the Committee: We are pleased... |
| Date June 14, 1994 |
Report No. T-GGD-94-169 |
Title
United States General Accounting; Office GAO
For Release on Deliveq Expecteda 1O:OO am., EDT TlleSdEiy June 14,1994 Testimony
Before the Subcommitteeon Environment, Credit, and Rural Development,Committee on Agriculture House of Representatives FINANCIALDEFkIVATIVES Actions Neededto Protect the Financial System
Statementof JamesL. Bothwell Director, Financial Institutions and Market Issues GAO/T-G... |
| Date June 14, 1994 |
Report No. T-GGD-94-163 |
Title
United States Genera1 Accounting Office GAO
Not to Be Released Before 1O:OO a.m., EDT on Tuesday June 14, 1994 Testimony
Before the Subcommittee on Environment, Credit and Rural Development, House Committee on Agriculture House of Representatives Responseto the International Swaps and Derivatives Association Position Paper
Statement for the Record James L. Bothwell Director, Financial Institutions... |
| 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 May 19, 1994 |
Report No. T-GGD-94-150 |
Title
United States General Accounting Office GAO
For Releaseon Delivery Expectedat 9130a.m., EDT ‘ Ib&Y May 19, 1994 Testimony
Before the Subcommittee on Telecommunications and Finance. r Committee on Energy and Commerce, House of Representatives 1 FINANCIAL DERIVATIVES Actions Needed to Protect the Financial System
Statementof Charles A. Bowsher Comptroller General of the United States i Mr. Chairma... |
| Date May 19, 1994 |
Report No. T-GGD-94-151 |
Title
United States General Accounting Office Testimony,
Before the Comkittee’ Banking, Housing, and Urban Affairs, on United States Senate For Releaseon Delivery Expectedat 2:OO p.m., EDT ndY May 19,1994 FINANCXALDERIVATIVES Actions Needed to Protect the Financial System
Statement of Charles A. Bowsher Comptroller General of the United States ; GAOm-GGD-94-151 ‘ q&/ Mr. Chairman and Members of the ... |
| Date May 18, 1994 |
Report No. GGD-94-133 |
Title
G&“-J ii2ZiY&;;yi;,zF , ‘ *
Comptroller General of the United States B-257099
May l&l994 The Honorable Donald W. Riegle, Jr. Chairman The Honorable Alfonse M. D’ Amato Ranking Minority Member Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Patrick J. Leahy Chairman The Honorable Richard G. Lugar Ranking Minority Member Committee on Agriculture, Nutrition ... |
| Date March 30, 1994 |
Report No. HEHS-94-17 |
Title
United States General Accounting Office GAO
March 1994 Report to the Chairman, Subcommittee oq Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives EMPLOYMENT DISCRIMINATION How Registered Representatives Fare in Discrimination ” Disputes . GAWHEHS-94-17 ,: 3. .,,I. United States General Accounting Office Washington, D.C. 26548 Health, Education, and H~~UIJI... |
| 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 Aug. 18, 1993 |
Report No. GGD-93-130 |
Title
United States General Accounting Office Report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives SECURITIES PLND EXCHANGE COMMISSION Delays in Processing Time-Sensitive Stock Filings GAO/GGD-93-130 GAO United States General Accounting Oflice Washington, D.C. 20648 General Government Division B-254128 August 18, 1993 The Honora... |
| Date July 29, 1993 |
Report No. RCED-93-164 |
Title
United States General Accounting Office GAO
July 1993 Report to the Honorable John E. Porter, House of Representatives RURAL
ELECTRIFICATION REA Borrowers’ Investments in Cable and Satellite Television Services GAO/RCED-93-164 GAO United States General Accounting Office Washington, D.C. 20548 Resources, Community, and
Economic Development Division B-253315 July 29,1993 The Honorable John E. Port... |
| 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 May 17, 1993 |
Report No. GGD-93-108 |
Title
-.- ---.-~.-_- I Jllitcvl ..-.- ---___-- St;~lcbs (;t~r~(~r-;~lAc*c~o~lt~lirrg Ol‘ firt: _-- --~- GAO FVTURES MARKETS
Preliminary Inforrnation Relat’ to ed a Futures Transaction Fee ____ __ __- - _._._ -..-- .._... I ..__-.-.. I _ ..,._” ..l,,“ll* ,_ll _._.- ~_-I -.-_ _-__I___ -..- - ..----- -.-- -_I_------ -...-......--. __-“l-.l_-.----~-...l_-_---.-- GAO United States General Accountin... |
| Date April 27, 1993 |
Report No. IMTEC-93-28 |
Title
1Jui t cd St ;rtes Gc~nvral Accounting Office Ikport t,o th.r?Secretary of the Treasury -- AUTOMATION Automated Auction System May Not Achieve Benefits or Operate Properly |
| Date March 16, 1993 |
Report No. GGD-93-70BR |
Title
Ilrritecl Statm |
| Date Feb. 19, 1993 |
Report No. GGD-93-37 |
Title
~l_l------l---.“l*_“-_ 1I~~it.ta(I Sti~t,(~~ irtg O~?IC~C~ -..-..- ._-----..---1.--....... .--_...- (;t~Il |
| Date Feb. 3, 1993 |
Report No. GGD-93-59 |
Title
GAO Fkport to Congressional Committees Regulatory Actions to Reduce Potential for Fraud and Abuse 148481 / j:;AO/(;C;I)-93-R9 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-260730 February 3,1993 The Honorable Donald W. Riegle, Jr. Chairman, Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Christopher J. Dodd Chai... |
| Date Sept. 30, 1992 |
Report No. IMTEC-92-85 |
Title
United States General Accounting Office GAO
September 1992 Report to the Chairman, Subcommittee on Oversight and Investigation, Committee on Energy and Commerce, House of Representatives SECURITIES AND EXCHANGE COMMISSION Effeetive Development of the EDGAR System Requires Top Management Attention llllllllllllll ll
147803 RESTRICTED--Not to be released outside the General Accounting Off&e unless sp... |
| Date Sept. 28, 1992 |
Report No. GGD-92-109 |
Title
IJnited States General Accounting Office ------ L Report to Congressional Requesters SECURITIES INVESTOR PROTECTION The Regulatory Framework Has Minimized SIPC’ s Losses
/-’ illllllllllll Ill
147624 GAO United States General Accounting Offlce Washington, D.C. 20548 General Government Division B-248162 September 28, 1992 The Honorable Donald W. Riegle, Jr. Chairman, Committee on Banking, Housin... |
| Date July 28, 1992 |
Report No. GGD-92-110 |
Title
I.Jnit,ctd StateM Gctnoral Accounting ^. Office_. .._.._. .______ _I. ..- _._. . h Report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce 1 House of Representatives
I .“. hly _....,... 1w2 . . -~--.. -__....-._. ,.. .._-_. I_ ..“. _“_ -._, l.l” -... II__ .__..l-” ..-..... ._--.” .-_I-.-.-.---.------.--. ..-~--. ----.-.----..- SECURITIES... |
| Date June 4, 1992 |
Report No. T-GGD-92-46 |
Title
United States General Accounting Office GAO
For Rcktsc on Delivery Expcctcd at 9:30 a.m. EDT Thurday June 4, 1992 Testimony
Before the Subcommittee on Telecommunications and Finance Committee on Energy and Commerce, House of Representatives INVESTMENT
t .: ADVISERS Oversight is Inadequatefor Investor Protection
Statement of Richard L. Fogel Assistant Comptroller Gfieral General Government P&grams ... |
| Date May 11, 1992 |
Report No. GGD-92-74 |
Title
GAO
.._ _ _._ .___ -.- .- -....- - .-.--.---_---- May 1992 SECURITIES ARBITRATION How Investors Fare 146692 .._..._,._,_ “... “_-.._. .. ._ ..-_._.__. _____,,_,__ ._ . ._ __ ___ ___._.- ---__. _ __ .------ ----.-.-------------- ---- GAO/GGI)-92-74 I ._ ” ^. ._._-_.-.~__.......- .-..-~--___--_ -- --____ ] ui ;c :i .-. _...... .._. - . . ^ _. _ _ ..,_ 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... |
