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GAO Reports by subject "Securities regulation"

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Date Report No. Title
Date April 9, 1992 Report No. RCED-92-98 Title

Electricity Supply: Regulating Utility Holding Companies in a Changing Electric Industry

Y 1.1 t,c!d St,akn Gcumra.1 Acwonf,il8g ni Olt1kxr GAO ,’ ‘ i! Ii April 1~ 4 I!)!)2 Report to the Chairman, Subcom m ittee on ‘ Iklecom m unications and F inance, Com m ittee on Energy and Com m erce, House of Representatives . ELECTRICITY SUPPLY Regulating Utility Holding Companies in “..“.. ...-. I. ..-^. --.----..-_-. I”_-.” --..--- ---_1___ .” ._... --1”- .-- ..-....-----.--....
Date March 10, 1992 Report No. GGD-92-41 Title

Securities Markets: Challenges to Harmonizing International Capital Standards Remain

1Jnitcd States Gt~ncral Akmunting Office 1 GAO Report to Congressional Cornrnittees March 1992 SECURITIES MARKETS Challenges to Harmonizing International Capital Standards Remain Ill llllll Ill\\Ill 146063 ‘ I -.--I-_ -...--....-. I-. GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-246519 March lo,1992 The Honorable Patrick J. Leahy Chairman, Comm...
Date Jan. 29, 1992 Report No. IMTEC-92-16 Title

Stock Markets: Information Vendors Need SEC Oversight to Control Automation Risks

L I 0 __- GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division B-246404 January 29,1992 The Honorable Richard C. Breeden Chairman, Securities and Exchange Commission Dear Mr. Breeden: This report is the result of our continuing work reviewing the automated operations that support our nation’s financial markets. We previously reported o...
Date Nov. 21, 1991 Report No. GGD-92-17 Title

Securities Regulation: Customer Protection Rule Oversight Procedures Appear Adequate

I.l~~itwl St.at.w General Accounting Office Report t,o the Chairman, Subcommittee on Commerce, Consumer, and Mhnetary Affairs, Committee on Government Operations, House of Representatives --.-.- SECURITIES REGULATION Customer Protection Rule Oversight Procedures Appear Adequate - 145303 .,._.-. I Ill GAO/MiI)-!U- 17 GAO United States General Accounting Office Washington, D.C. 20548 General Governm...
Date Sept. 26, 1991 Report No. GGD-91-135 Title

Securities and Futures Markets: Efforts to Detect Intermarket Frontrunning

!) ‘ 7 0 3 cn c 0 GAO United States General Accounting Office Washington, DC. 20648 General Government Division B-245321 - September 26, 1991 The Honorable Doug Barnard Chairman, Subcommittee on Commerce, Consumer, and Monetary Affairs Committee on Government Operations House of Representatives Dear Mr. Chairman: In response to your request and subsequent discussions with the Subcommittee, we re...
Date Sept. 20, 1991 Report No. GGD-91-131 Title

Bank Powers: Bank Holding Company Securities Subsidiaries' Market Activities Update

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. 20, 1991 Report No. IMTEC-91-62 Title

Global Financial Markets: International Coordination Can Help Address Automation Risks

St”plt’ trrl,t~r I!# I GLOBAL FINANCIAL MARKETS International Coordination Can Help Address Automation Risks 144886 - ~O/IM’ ~(‘ I’ -Ul-(id- I$ ,v @ -l:ll-_-l.l---_.-_l_--- ----_-_.---~ li . GA!0 United States General Accounting Office Washington, D.C. 20548 Information Management and Technology Division B-234478 September 20,lQQl The Honorable Patrick J. Leahy Chairman, Committee on Agr...
Date Sept. 1, 1991 Report No. IMTEC-91-62ES Title

Global Financial Markets: International Coordination Can Help Address Automation Risks

.~ .._ _ ._ .-.. .._..._._____ -... -.-___-- United States General Accounting Office GAO September 1991 Executive Summary Supplement GLOBAL FINANCIAL MARKETS International Coordination Can Help Address Automation Risks This is the executive summary supplement to GAO/IMTEC-91-62 GAO/IMTEC-9562ES Ekmtive Summary Automation is &anging the environment in which the world’s financial markets operate....
Date Aug. 28, 1991 Report No. IMTEC-91-56 Title

Financial Markets: Computer Security Controls at Five Stock Exchanges Need Strengthening

---I---. ~-.-.-__l .--..- - _--.. _ _.________- Au~rlst~ 1!)!I 1 F INANCIAL MARKETS -- -- - Computer Security Controls at F ive Stock Exchanges Need Strengthening GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division B-237674 August 28,199l The Honorable Richard C. Breeden Chairman, Securities and Exchange Commission Dear Mr. Chairman: Th...
Date Aug. 21, 1991 Report No. GGD-91-115 Title

Securities Markets: Clearly Defined 'Chinese Wall' Standards Have Been Issued

, . 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 April 25, 1991 Report No. GGD-91-52 Title

Securities Industry: Strengthening Sales Practice Oversight

Report to Congressional Corrunittees ~ April 1991 sj ‘ 1 SECURITIES INDUSTRY Strengthening Sales Practice Oversight -. ..-._-..--. l..-.l ”.. “_.ll_... ^..I .___.^....- ._._ __.___..... _.__ . I.. .” . I.. I..” ..^ ~...-_- .._. I. -_--_--~-“-_-.-.-“--~--~-..“~~ ._~-- GAO uniti states GieneralAccounting Of’ flce Washington, D.C. 20648 General Government Divi&n B-242226 April 26,19...
Date April 25, 1991 Report No. GGD-91-41 Title

Futures Markets: Strengthening Sales Practice Oversight

IJnited States General Accounting Office GAO April 1991 Report to Congressional Committees FUTURES MARKETS Strengthening Sales Practice Oversight ’ -,,-,--~I_L-_I,I_I- _,I._._._” .I __,_ ...ll” -_.. ~ .-_ .,“,* ,_.. .,” ___.“..^ ,.., “..“l _... l.-l”.-l”“” . “l*_.“-l.l”tli- -.--.-“--- .--..---I- ------- General Government Division B-236446 April 251991 The Honorable...
Date April 2, 1991 Report No. IMTEC-91-21 Title

Financial Markets: Active Oversight of Market Automation by SEC and CFTC Needed

.-1--.-1---... -- --- --- April I!)91 - FINANCIAL MARKETS Ac tive O v ers ight of Market Automation by SEC and CFTC Needed GAO General Accounting Off’ ice Wahington, D.C. 20548 Information Management and Technology Division unitedstates B-242802 April 2,lQQl The Honorable Patrick J. Leahy Chairman, Committee on Agriculture, Nutrition, and Forestry United States Senate The Honorable Donald W. Rie...
Date Sept. 26, 1990 Report No. IMTEC-90-83 Title

Securities Industry: Additional Testing Needed to Ensure Efficient Post-Trade Processing of Stocks

SECURITIES INDUSTRY Additional Testing Needed to Ensure Efficient Post-Trade Processing of Stocks - ..--.---_-~~ -___ --.---- (;A( I,, I kI’1’15( ‘-!wcl I I ’ i ~ 4 I ,,. ,_ .,,, ..I ..l,l _..._ . l-l. .._ -.._-..... . - ._-..._.....---... -. - -.---. -__-..--..______...__ GAO General Accounting Office Washington, D.C. 20548 Information Management and Technology Division united states B-24...
Date Sept. 14, 1990 Report No. GGD-90-114 Title

U.S. Government Securities: More Transaction Information and Investor Protection Measures Are Needed

St~ptcwllwr l!M) U.S. GOVERNMENT SECURITIES More Transaction Information and Investor Protection Measures Are Needed w 142213 I ---l_~-“- -- -- t;Ao./‘(;(;I)-!Mbl 14 li ,b ;; .--_ _._ _ ..-____- _....-_-.--.-. ---.-l-----.--.---:, I . (gQ() ~~~~~in~go¶c , I@ General Government Division B-236437 September 14,199O The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing, and Urban...
Date Aug. 24, 1990 Report No. IMTEC-90-81 Title

Futures Markets: Use of Automation to Detect Trade Abuses

~ -_I United States General Accounting Office Report to the Chairman and Ranking Minority Member, Committee on Agriculture, Nutrition, and Forestry, lJ.S. Senate FUTURES MARKETS Use of Automation to Detect Trade Abuses Q llllllllllllll 142270 V--Not to be released outside the General Accounting Offlce unless spedfically approved by the Office of Congressional Relations. .-“” -..._. _. -._“ll...
Date Aug. 2, 1990 Report No. T-AFMD-90-27 Title

Financial Management: Prevention, Detection, and Reporting of Financial Irregularities

United States General Accounting Office - Testimony For Release on Delivery Expected at 1:00 p.m. Thursday August 2, 1990 Prevention, of Financial Detection, Irregularities and Reporting Statement of Charles A. Bowsher Comptroller General of the United States Before the Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Representatives GAO/T-AFMD-90-27 GAO For...
Date July 24, 1990 Report No. T-AFMD-90-25 Title

Financial Management: Audits of Employee Benefit Plans Need to be Strengthened

. UnhdSt&esGenenlAccomdngOmce 14Ebq lkstirnony For Release on Delivery Expected at 1o:cla a.m. Tuesday July 24, 1990 AULtits of mloy Benefit Heed to be strengthened Plans Statement of David L. Clark Associate Director, Pinancial Management Systems and Audit Oversight Accounting and Financial Management Division Before the %bcommittee on Labor Committee on Labor and Human Resources Ufiit33 States S...
Date July 17, 1990 Report No. GGD-90-108BR Title

Securities and Futures Markets: Assessment of SEC and CFTC Studies of October 1989 Market Volatilities

‘ 1 GAO _ __ .__.-_-.---.-.---- .Jlll\ I!)!)0 SECURITIES AND FUTURES MARKETS Assessment of SEC and CFTC Studies of October 1989 Market Volatilities _ _... .._ .._. I I _...,, _“ll.-l”... . . l-.*-.-. ---- ~--.- --- GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-240406.1 July 17, 1990 The Honorable Christopher J. Dodd Chairman, Subcommittee on...
Date July 12, 1990 Report No. IMTEC-90-47 Title

Financial Markets: Oversight of Automation Used to Clear and Settle Trades Is Uneven

-..~“-1- -..- -..--~ ..-- 91 ly I!~!~0 II FINANCIAL MARKETS Oversight of Automation Used to Clear and Settle Trades Is Uneven 141773 _I__--.___ .-_____-.-~-_. ---
Date June 26, 1990 Report No. GGD-90-83 Title

Investment Advisers: Current Level of Oversight Puts Investors at Risk

. .(‘- .._ GAO ..-. -.. -.-.-... -... .J llllf’ I !I!)0 -_-.--.__--.-___--_----__-l..-_~-~---^---~ _l--_-_-l------- INVESTMENT ADVISERS Current Level of Oversight Puts Investors at Risk 141812 _ _..._ _..._.....” -..~l..--_ _^.-.._-----~-_ ..-_-__l_l__ . .._ --.._.._..-(;Ao,~‘(;(;J,-!)o-H:~ General Government Division B-236244 June 26,199O The Honorable Edward J. Markey Chairman, Subcommit...
Date May 7, 1990 Report No. NSIAD-90-98 Title

International Finance: Update on U.S. Commercial Banks' Securities Activities in London

-._, ..,“~-__-. _“”-__.. _.-. 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 April 27, 1990 Report No. IMTEC-90-43FS Title

Futures Markets: Information on Six Foreign Automated Trading Systems

-I- -_ Gri I I !)!tO FUTURES MARKETS Information on Six Foreign Automated Trading Systems ---.. ?b II14130 HI Hlll / (;A(),~ IM’I’I%‘-!)O-3:31’S GAO United States General Accounting Office Washington, D.C. 20648 Information Management and Technology Division I+234478 April 27, 1990 The Honorable Patrick J. Leahy, Chairman The Honorable Richard G. Lugar, Ranking Minority Member Committee on...
Date April 11, 1990 Report No. GGD-90-33 Title

Clearance and Settlement Reform: The Stock, Options, and Futures Markets Are Still at Risk

-GAO Report to Cc-mgressional Cornmi ttees CLEARANCE AND SETTLEMENT REFORM The Stock, Options, and Futures Markets Are Still at Risk 141098 GAO United States General Accounting Office Waahiugton, D.C. 20548 General Government Division B-236443 April 11,lQQO The Honorable John D. Dingell Chairman, Committee on Energy and Commerce House of Representatives The Honorable E (Kika) de la Garza Chairman,...
Date April 9, 1990 Report No. GGD-90-64 Title

Chicago Futures Market: Emergency Action Procedures

United States General Accounting Office GAOApril1990 Report to Congressional Requesters CHICAGOFUTURES MARKET Fmergency Action Procedures i * : .T .’ .‘. --. . ; -: :..... ; GAO/GGD-90-64 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-236443 April 9,199O The Honorable Tom Harkin Chairman, Subcommittee on Nutrition and Investigations Committee o...
Date March 19, 1990 Report No. T-GGD-90-21 Title

Financial Institutions: Activities of Securities Subsidiaries of Bank Holding Companies

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

Bank Powers: Activities of Securities Subsidiaries of Bank Holding Companies

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

Securities Trading: SEC Action Needed to Address National Market System Issues

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 Feb. 21, 1990 Report No. T-IMTEC-90-2 Title

Financial System: Federal Oversight of Computer Security Needs to Be Strengthened

Testimony Fbr BdtZase on Delivery Expectedat 1:OOp.m. EST Wednesday Feb. 21, 1990 FINANCIAL SYSTEMS:Federal Oversight of Canputer Security Needs to be Strengthen& statementof HowardG. Rhke, Director ernment Information Systems, General Gov Information Manag-t and Technology Division Before the House Camittee on Energy and Camuzrce SubtxnnitteeonTel ecarmunications and Finance House of Representati...
Date Jan. 5, 1990 Report No. IMTEC-90-15 Title

Financial Markets: Tighter Computer Security Needed

-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 Dec. 18, 1989 Report No. GGD-90-9BR Title

Tax Policy: Tax-Exempt Bond Issuance Costs

I .~ __I. --.__~~_--.--.-- --,--.-- ---rc-“--.--lll _--_-.___j^ .-.- --__ v I-.-- sir -.~ .._- i-lr-llc- --.. -.--.,._“~~_-~ ._-=~.. -1 ~_ _,--. -.. _~ _A GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-234206 December18,1989 The Honorable Brian Donnelly House of Representatives Dear Mr. Donnelly: Tnis briefing report responds to your September ...
Date Sept. 8, 1989 Report No. T-GGD-89-39 Title

Business, Industry, and Consumers: Strengthening Trade Practice Oversight

United States General Accounting OfPIce 13 sqvf b ..GAO For Release On Delivery Fridav September 1989 lo:00 a.m. Testimony 139484 Strengthening EDT 8, Trade Practice Oversight Statement of Richard L. Fogel, Assistant General Government Programs Before Committee Comptroller General the on Agriculture, States Senate Nutrition and Forestry Uni.ted Y GAO/T-GGD-89-39 GAO Form 160(i!w7) FUTURES MARKETS:...
Date Sept. 7, 1989 Report No. IMTEC-89-68 Title

Futures Market: Automation Can Enhance Detection of Trade Abuses But Introduces New Risks

. United States General Accounting Office GAO September 1989 Report to the Chairman and Ranking Minority Member, Committee on Agriculture, Nutrition, and Forestry; U.S. Senate FUTURESMARKETS Automation Can Enhance Detection of Trade Abuses But Introduces New Risks GAO,‘ IMTEC-89-68 GAO United States General Accounting Office Washington, D.C. 20648 Information Technology Management Division and B...
Date Sept. 7, 1989 Report No. GGD-89-120 Title

Futures Markets: Strengthening Trade Practice Oversight

United States General Accounting Office i Report to the Chairman and the . Ranking Minority Member, Committee on AgricuIture, Nutrition, and Forestry, U.S. Senate September 1989 FUTURES MARKETS Strengthening Trade Practice Oversight --- GAO/GGD-89-120 “?,. ‘“*,a’ GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-236443 September 7, 1989 The Ho...
Date June 7, 1989 Report No. GGD-89-85 Title

Information Access: Improving Securities and Exchange Commission's Public Reference Room Operations

_-.-.....-....,._ -. -. .rrlIlt* I!M!) ._-.._ ..______._ .__. ...._ _ ___... ..-.... .._..I~.._-- __ INFORMATION ACCESS Improving Securities and Exchange Commission’s Erublic Reference Room Operations ’ GAO General Accounting Offbe Washingtan, D.C. 20648 General Government Division united states B-231278 June 7,198Q The Honorable Robert E. Wise, Jr. Chairman, Subcommittee on Government Informa...
Date April 27, 1989 Report No. T-HRD-89-20 Title

Income Security: Pension Plans and Leveraged Buy-Outs

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...
Date April 14, 1989 Report No. NSIAD-89-115 Title

International Finance: Regulation of International Securities Markets

: .- .I ‘,-. “( National Security and International Affairs Division B-234478 April 14, 1989 The Honorable Donald W. Riegle, Jr., Chairman The Honorable Jake Garn, Ranking Republican Member Committee on Banking, Housing and Urban Affairs United States Senate This report responds to your request that we identify regulatory issues for coordination among international securities markets and that ...
Date March 13, 1989 Report No. GGD-89-58 Title

Chicago Futures Market: Initial Observations on Trade Practice Abuses

United Stat& Geheral Accounting Office GAO March 1989 Report to the Chairman, Committee on Agriculture, Nutrition and Forestry, U.S. Senate CHICAGO FUTURES MARKET Initial Observations on Trade Practice Abuses General Government Division B-234478 March 13, 1989 The Honorable Patrick J. Leahy Chairman, Committee on Agriculture, Nutrition and Forestry United States Senate Dear Mr. Chairman: This repo...
Date March 10, 1989 Report No. T-AFMD-89-3 Title

Bank and Savings and Loan Insurance Funds: Financial Condition and Proposed Reforms

UnitedStates General AccountingOfllce Testimony For Release on Delivery Expected at 11:30 a.m EST Friday March 10, 1989 Bank and Savings Condition and Loan and Insurance Funds: Reforms Financial Proposed Statement Frederick Assistant Accounting of D. Wolf Comptroller General and Financial Management and Urban Affairs Before the Finance Committee on Banking, House of Representatives GAO/T-AFMD-89-3...
Date March 6, 1989 Report No. AFMD-89-38 Title

CPA Audit Quality: Status of Actions Taken to Improve Auditing and Financial Reporting of Public Companies

United States General Accounting Office Report to the Chairman, Oversight and Investigations Subcommittee, Committee on Energy and Commerce, House of Representatives March 1989 CPA AUDIT QUALITY Status of Actions Taken to Improve Auditing and Financial Reporting of Public Companies Comptroller General of the United States B-233641 March 6, 1989 The Honorable John D. Dingell Chairman, Subcommittee ...
Date March 2, 1989 Report No. T-GGD-89-9 Title

Financial Institutions: High Yield Bond Market

United hates General Accounting Office Testimony For Release on Delivery Expected at 1O:OO a.m. EST March 2, 1989 High Yield Bond Market Statement of -Richard L. Fogel Assistant Comptroller General General Government Programs Before the Subcommittee on General Oversight and Investigations Committee on Banking, Finance and Urban Affairs House of Representatives 1 . .. @+4~4\ 138 a37 / GAO GD-89-9 F...
Date March 2, 1989 Report No. GGD-89-48 Title

High Yield Bonds: Issues Concerning Thrift Investments in High Yield Bonds

GAO -..~--. .--- Iteport, to Congressional Rcqueskrs March 1!))I!) HIGH YIELD BONDS Issues Concerning Thrift Investments in High Yield Bonds i ,I GAO united states General Accounting Office Wahington, D.C. 20548 General Government Division B-231276.8 March 2, I989 The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing and Urban Affairs United States Senate The Honorable Henry B. Go...
Date Feb. 23, 1989 Report No. T-GGD-89-8 Title

Financial Management: Commodity Futures Trading Commission and the Chicago Futures Exchanges' Detection of Trade Practice Abuses

Unitzd States General Accounting Office / 3 17 7 F,? GAO Testimony For Release On Delivery Expected at 1O:OO a.m. EST Thursday February 23, 1989 Commodity Futures Trading Commission and the Chicago Futures Exchanges' Detection of Trade Pratice Abuses Statement of Richard L. Fogel, Assistant General Government Programs Before the Committee on Agriculture, United States Senate Comptroller General Nu...
Date Feb. 9, 1989 Report No. T-HRD-89-5 Title

Income Security: Pension Plan Participation in Leveraged Buyout Funds

United State8 General Accounting OiYlce /37 40 8 GAO For Release on Delivery Expected at 10:00 a.m. EST Thursday February 9, 1989 Testimony Pension Plan Participation Leveraged Buyout Funds In Statement of Joseph F. Delfico, Director Income Security Issues Human Resources Divisisn of Before the Subcommittee on Labor-Management Relations Committee on Education and Labor House of Representatives GAO...
Date Jan. 27, 1989 Report No. GGD-89-35 Title

Banking: Conflict of Interest Abuses in Commercial Banking Institutions

United States General Accounting Office i GAOQ January 1989 Report to the Chairman, Subcommittee on 4 Commerce, Consumer, and Monetary Affairs, Committee on Government Operations, House of Representatives 4 BANKING Abuses in Commercial Banking Institutions Conflict of Interest GAO/GGD-89-36 efforts t General Government Division B-229244 January 27, 1989 The Honorable Doug Barnard, Jr. Chairman, Su...
Date Nov. 1, 1988 Report No. OCG-89-4TR Title

Transition Series: Financial Services Industry Issues

c November 1988 Financial Services Industry Issues ,. s-----y i GAO/OCG-89-4TR GAO united General Accounting Office yashington, DC. 20548 Comptroller General of the United States states B-158195 November 1988 The President of the Senate The Speaker of the House of Representatives The Secretary-designate of the Treasury This summary report is one in a series that addresses major policy, management,...
Date Sept. 8, 1988 Report No. NSIAD-88-238 Title

International Finance: U.S. Commercial Banks' Securities Activities in London

ecommunications hqnittee on Energy and Commerce, House of Representatives - September 1988 INTERNATIONAL FINANCE a United States General Accounting Office Washington, D.C. 20548 Comptroller General of the United States B-229444 September 8, 1988 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Representatives Dear Mr....
Date Aug. 5, 1988 Report No. GGD-88-116 Title

Securities Regulation: Efforts to Detect, Investigate, and Deter Insider Trading

-A* o- a 1988 I.- Oversight and Investigations, committee on Energy and Commerce,Houseof Representatives Subcommittee on August SECURITIES REGULATION ’ Efforts to Detect, Investigate, and Deter Insider Trading i.: GAO/GGD-#3-116 54308b General Government Division B-230413 August 5,1988 The Honorable John D. Dingell Chairman, Subcommittee on Oversight and Investigations Committee on Energy and Co...
Date June 24, 1988 Report No. NSIAD-88-171 Title

International Finance: Competitive Concerns of Foreign Financial Firms in Japan, the United Kingdom, and the United States

. , i3lp~3y United States General Accounting Office’ ’ GAO June 1988 ‘Report to Congressional Requesters INTERNATIONAL FINANCE Competitive Concerns of Foreign Financial Firms in Japan, the United Kingdom, and the United States 136339 GAO,‘N@AD-88-171 . ’ . I National Security and International Affairs Division B-219067 June 24,1988 The Honorable William Proxmire, Chairman, The Honorable ...
Date May 1, 1988 Report No. GGD-88-75 Title

High Yield Bonds: Nature of the Market and Effect on Federally Insured Institutions

PREFACE Office held a On March 1, 1988, the U.S. General Accounting joint public hearing in conjunction with the Security and the Federal Home Loan Bank Board, the Exchange Commission, the Federal Reserve System, the Comptroller of the Currency, Federal Savings and Loan Insurance Corporation, the Federal Deposit Insurance Corporation, the Department of the Treasury, The hearing fulfilled part of ...