| Date |
Report No. |
Title |
| Date April 27, 1988 |
Report No. T-GGD-88-33 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 9:30 EDT Wednesday April 27, 1988 Testimony Developments October 1987 Since the Market Crash of Statement of Charles A. Bowsher Comptroller General of the United States Before Senate Nutrition United the Committee on Agriculture, and Forestry States Senate GAO/T-GGD-88-33 GAOForm 160((:2/87; Mr. Chairman We are pleased... |
| Date April 27, 1988 |
Report No. T-GGD-88-33S |
Title
, ‘ GAO Testimony For Release on Delivery Expected at 9:30 EDT Wednesday April 27, 1988 Developments October 1987 Since the Market Crash of Summary Statement of Charles A. Bowsher Comptroller General of the United States Before Senate Nutrition United the Committee on Agriculture, and Forestry States Senate ~llllll IIIIll
1 i
135658 j Mr. Chairman pleased and crash and Members to self last be he... |
| Date April 14, 1988 |
Report No. GGD-88-41 |
Title
. United States Generai Accounting Office Oversight and Investigations, Cpmmittee~ on Energy and Commerce,House of Representatives @ Chairman, Subcommitteeon ,I,, Report to th6 LEVERAGE CONTRACTS Commodity IFutures Trading Commission’ s Regulation of Leverage Contracts IIlllllllllll ll
135816 IIUI GAO United Statea General Accounting Office Washington, D.C. 20548 General Government Division B-22... |
| Date March 4, 1988 |
Report No. GGD-88-48FS |
Title
Y *
United States General Accounting I-ssq
Office /
. ‘ GAO
Marc+ 1988 Fact Sheet for the Chairman, Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives / I SECURITIES REGULATION Hostile Corporate Takeovers: Synopses of Thirty-Two Attempts . * P ““““,I. ““.“_1-“1”“1 _ __-111 --_I ----- l-“,-l---ll--_-l ---- -~ - --_- ~ --.... |
| Date Feb. 29, 1988 |
Report No. GGD-88-55FS |
Title
f. United States General Accountingoilllce GA!!!!
February 1988 Fact Sheet for Congressional Committees - FTNANCIAL MARKElTS Issuers,Purchasers, and Fkrposes of High Yield, Non-Investment Grade Bonds 04\3\a
GAO/GGD-fXtS5FS GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-230424 February 29, 1988 The Honorable William Proxmire Chairman, Committee on B... |
| Date Feb. 5, 1988 |
Report No. T-GGD-88-10 |
Title
Release on Delivery Expected at 10:00 a.m. Friday February 5, 1988
For Preliminary Observations Crash of October 1987 on the Market Statement of Richard L. Fogel Assistant Comptroller General, General Government Programs Before the Committee on.Banking, United States Senate Housing and Urban Affairs . Ill i
134976 Mr . Chairman before efforts October you to and Members today examine to discuss wha... |
| Date Feb. 3, 1988 |
Report No. T-GGD-88-8 |
Title
. GA!0
-~~ --~ - United States~Generrsl Accounting OBlce !3iy q q4 Testimony * For Release on Delivery Expected at 10:00 a.m. Wednesday February 3, Preliminary Crash of Observations October 1987 on the Market 1988 Statement of Richard L. Fogel Assistant Comptroller General, General Government Programs Before the Subcommittee on Financial Institutions Supervision, Regulation and Insurance Committee... |
| Date Jan. 26, 1988 |
Report No. T-OCG-88-1 |
Title
United States General Accounting OffIce Testimony I r’ . For Release on Delivery Expected at 9:30 a.m. Tuesday January 26, 'Preliminary Observations Markeg~,~ .-,y....*"l Crash of October 1988 on the 1987 Statement of Charles A. Bowsher Comptroller General of the United States Before the Subcommittee on Telecommunications and Finance Committee on Energy and Commerce United States House of Repres... |
| Date Jan. 26, 1988 |
Report No. GGD-88-38 |
Title
United Statea rieneral Accounting Uhice GAO. ’
January 1988 - Report to Congressional Requesters FINANCIAL MARKETS Preliminary Observations on the October 1987 Crash II ad,
GAO/GGD-@= *. -. . Comptroller General of the United States B-229471 January 26, 1988 The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Represent... |
| Date Dec. 18, 1987 |
Report No. GGD-88-8 |
Title
. ..- 1 , United S ta te s G e ieial A c c o u n tin g O ffice - . .- 1 GA6
December 1987 R e p o rt to th e C o n g ress * j ! U. S.GOVERNMENT S E C U R ITIE S A n E x a m in a tio n o f V ie w s E x p r e s s e d A b o u t Access to B rokers’ S e rvice s -. . ” . ’ . I m Comptroller General of the United States B-221597 December 18, 1987 The President of the Senate and the Speaker of the H... |
| Date June 22, 1987 |
Report No. GGD-87-94FS |
Title
’. GAO Fact Sheet to ‘ Chairman, the bSubcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives June 1987 SECURITIES REGULATION SEC Budget and Workload Statistics, FY 19794988 :II\ II Ill Ml
133550 / I GAO/GGD-87-94FS 539Jb4 RELEASED . I GAO United States General Accounting Offke Washington, D.C. 20548 -_~~___ General Government Division B-227354 ... |
| Date Feb. 4, 1987 |
Report No. GGD-87-42 |
Title
lJnited -l_____,,l_____________I___._.______ ..-- .._-.--,-.-.--.-.k.---,-States General Accounting .^l .-__- l-l-. QflRce GAO Hearing February 1987 Government Securities:
Expanding Access to Interdea3er Brokers’ Services
Transcript of a Hearing Held Jointly by GAO, the Department of the Treasury, the Federal Reserve System, and the Securities and Exchange Commission on February 4, 1987, Washing... |
| Date Jan. 1, 1987 |
Report No. 135064 |
Title
Messag6 From the Comptroller General wo hundred years ago, the Pounding T Fathers gathered in Philadelphia to consider revisions to the Articles of Confederation, the basis for the existing govermnent of the United States.At that time, the nations poor financial conditiontrade imbalances, deficient domestic and international-credit, the lack of a national currency and banking system, and other ... |
| Date Dec. 11, 1986 |
Report No. T-GGD-87-2 |
Title
‘ . +I .’ / United States Gene Accounting O ffice /31767, GAO
__. For Release on Delivery Esrpectedat
lo:00 a.m. EST Thursday December l&J l.386 Testimony i Insider Trading in the Securities Markets statement of W illiam J. Anderson, Assistant General GoverrmentPrcgrams Cmptroller General Before the Subxmnittee on Oversight and Investigations Ckxmnittee on Energy and Ccxtmerce House of Represe... |
| Date Oct. 20, 1986 |
Report No. GGD-87-15BR |
Title
, c I * I’* :. Unitetd States General Accounting Ofike tx552 GAO
October 1986 Briefing Report to the Chairman, Subcommittee on Domestic Monetary Policy, Committee on Banking, Finance and ‘Urban Affairs, House of Representatives , U.S. GOVERNMENT SECURITIES Questions About the Federal Reserve’s Securities Transfer System 131352 u37084
GAO/GGD-87-15BR , . r, I ’ . .‘, GAO United States Gen... |
| Date Oct. 9, 1986 |
Report No. IMTEC-87-2 |
Title
.’ G.0 I., Report to the Chairman, Subcommittee on Oversight and Investigations, Com.mittee on Energy and Commerce House of Representatives
United StathGenelal Accounting Office 1986 I3f5Q October ADP ACQUISITION SEC Needs to Resolve Key Issues Before Proceeding With Its EDGAR System jQ?STRICTEID-- Not to be released outside the f&mm3 ~vept on 2x3 basis of cpeeifie Accounting Officafi iiapproval... |
| Date Sept. 30, 1986 |
Report No. GGD-86-83 |
Title
United States General Accounting Office . Report to the Chairman, Subcommittee & ~ Telecommunications, Consumer Protection, and Finance, Committee on Energy and Commerce House of Representatives
September 1986 SECURITIES REGULATION Securities and Exchange Commission Oversight of Self-Regulation GAO/GGD-M-W 53053 ( . . > GAO united states
General Accounting Office Washington, D.C. 201348 General Go... |
| Date Sept. 29, 1986 |
Report No. GGD-86-147FS |
Title
Policy, Committee on Banking, Finance and Urban Affairs, Howe of. Representatives
September 1986 U.S. GOVERNMENT SECURITIES Dealer Views ‘On Market Operations and Federal Reserve alersight ’ GAO United States General Accounting Offrce Washington, D.C. 20548 General Government Division B-221597 September 29, 1986 The Honorable Walter E. Fauntroy Chairman, Subcommittee on Domestic Monetary Polic... |
| Date Sept. 29, 1986 |
Report No. 131128 |
Title
UNITED STATES GENERAL ACCOUNTING OFFICE 20548 WASHINGTON, D.C. FOR RELEASE ON DELIVERY EXPECTED AT lo:00 A.M. MONDAY, SEPTEMBER 29, 1986 STATEMENT OF WILLIAM ASSISTANT J. ANDERSON COMPTROLLER GENERAL GENERAL GOVERNMENT PROGRAMS BEFORE THE SUBCOMMITTEE ON DOMESTIC MONETARY POLICY OF THE COMMITTEE ON BANKING, FINANCE AND URBAN AFFAIRS HOUSE OF REPRESENTATIVES ON THE TREASURY SECURITIES MARKET AND PR... |
| Date Aug. 26, 1986 |
Report No. GGD-86-106BR |
Title
. , United States General Accounting Office Washington, D.C. 20548 General Governruent Division B-217030 August 26, 1986 The Honorable John D. Dingell Chairman, Subcomittee on Oversight and Investigations Committee on Energy and Commerce House of Representatives Dear Mr. Chairman:
(GAO) has In response to your request, the General Accounting Office been evaluating vaGious aspects of the Securitie... |
| Date Aug. 20, 1986 |
Report No. GGD-86-80BR |
Title
VI I---. ‘“1 United States General Accounting OfRice L30735 Briefing Report to the Chairhan, Subcommittee on Domestic Monetary Policy, Committee on Banking, F’inance and Urban Affairs, House of Representatives Augusit 1986 U.S.TREASURY SECURITIES The Market’s Structure, Risks, and Regulation I III II Ill (I I I 1lllll!
130735 / GAOJGGD-86-80BR 03G399 - (30735 , . i I General Government Div... |
| Date July 16, 1986 |
Report No. GGD-86-97FS |
Title
United States G&e& Accounting OfAce Fact Sheet for the Chairman, Sllnbcommitte&on Oversight and Investigations, Committee on Energy and Commerce, House of Rep:?esentatives
July 1986 13077ci ’ ;~~ SECURITIES REGULATION SEC Enforcement Efforts in 1978and 1985 I I IIIIIIII Allll
130779 I
I Not ~~%'I'R~CTED--- to be releasedmtslde the &Xl0r~ ir speciflo
Acqountlng Office CXCP~~ -* approvsl ST” “... |
| Date May 15, 1986 |
Report No. GGD-86-26 |
Title
United States General Accounting Office GAO
L_ May 1.7. IUHIi I Staff Study - -- SECURITIES AND FUTURES How the Markets Developed and How They Are Regulated 035J+w5
GAO/GGD-86-26 5219779 Preface Since their regulation was designedin the 193Os, securities and futures markets have continued to evolve. This evolution has been influenced b; changesin the economic environment, government policies, tech... |
| Date May 12, 1986 |
Report No. GGD-86-63 |
Title
United Statea General Accounting oiyice 343w - Report to Members of Congress . May 1986 FUNCTIONAL REGULATION: An Analysis of Two Types of Pooled Investment Fbnds GAO United States General Accounting
Washington, General Offlce D.C. 20548 Division Government B-212014 May l&l986
The Honorable Jake Garn Chairman, Committee on Banking, and Urban Affairs United States Senate Housing The Honorable Ferna... |
| Date March 5, 1986 |
Report No. 129236 |
Title
United States General Accountins Washinqton, D.C. 20548 Office FOR RELEASE ON DELIVERY EXPECTED AT 9:30 A.M., EST MARCH 5, 1986 STATEMENT OF CRAIG A. SIMMONS, ASSOCIATE DIRECTOR GENERAL GOVERNMENTDIVISION BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS, CONSUMERPROTECTTON, AND FINANCE COMMITTEE ON ENERGY AND COMMERCE UNITED STATES HOUSE OF REPRESENTATIVES ON THE SECURITIES AND EXCHANGE COMMISSION'S ... |
| Date July 9, 1985 |
Report No. 127376 |
Title
United States General Accounting Washington, D.C. 20551 Office FOR RELEASE ON DELIVERY EXPECTED AT 9:30 A.M. JULY 9, 1985 STATEMENT OF WILLIAM J. ANDERSON, DIRECTOR GENERAL GOVERNMENTDIVISION BEFORE THE SUBCOMMITTEE ON DOMESTIC MONETARY POLICY COMMITTEE ON BANKING, FINANCE AND URBAN AFFAIRS I U.S. HOUSE OF REPRESENTATIVES ON THE REGULATION OF THE U.S. GOVERNMENTSECURITIES MARKET II . 127376 Mr. Ch... |
| Date March 25, 1985 |
Report No. GGD-85-28 |
Title
BY THE U.S.GENERAL ACCOUNTING Ol%lCE
Report To The Chairman, Subcommittee Oversight And Investigation Committee On Energy And Commerce House Of Representatives Statistics On SEC’s Enforcement On Program SEC is authorized by legislation to investigate suspected violations of the federal securities laws and, where warranted, to bring enforcement actions against suspected violators This report pres... |
| Date Sept. 28, 1984 |
Report No. HRD-84-60 |
Title
Report To The Chairman, Committee On Labor And Human Resources United States Senate The Department Of Labor’s Handling Of The investigation And Litigation Of Alleged Abuses Of The Southern Nevada Culinary Workers And Bartenders Pension Trust Fund
“Ttlr: Department of Labor’s investigation and Irtigation of alleged abuses of the Southrt:rn N~vadi~ Culinary Workers and Bar~r~nclers Pension Tru... |
| Date May 18, 1984 |
Report No. GGD-84-42 |
Title
REPORT THEUS, BY Geneva1 AC
’ SEC’s Efforts Io Find Lost jK6d Stolen S&urities i‘
Each year about $1 billion in securities, such as stocks and bonds, are lost by or stolen from financial institutions and their customers. At Congress’diwction the Securities andExchange Commission (SEC) established a program requiring financial institutions to report lost or stolen securities to the SEC and ... |
| Date Oct. 31, 1983 |
Report No. 122731 |
Title
UNITED tXR!CES GENERAL AtXOUNTING OFFICE wN%lXXN, D.C. sTA!mmnoF F. KEVINBOUWD,SENICRASSOCIA!l'EDIRECBX REsamEs,-,ANDCDEVEWIPMENTDMSION BEFORETHE suBcoMMITl!EE mELFGY ON msERvATIoN AND Fa4ER ANDTHE EmBasMImEE ON ~CATIO,mmPIERBRcmCTIm ANDFINANCE CcElMITTEEoN-ANDUNITEDSTATESHCUSEOFREF%ESENI!ATIVES Mr.Chairman: We appreciate this opportunity to discuss proposed legislation (H.R. 2994) to nd the Fubli... |
| Date Aug. 30, 1983 |
Report No. RCED-83-118 |
Title
* @THE COMPTROLLERGENERAL
Report To The Honorable Tom Corcoran House Of Representatives IRlllllllllll lllllIII1 Ill lllll Ill1 1111111111 lllll
Lmll22440 OF THE UNITEDSTATES
Analysis Of SEC’s Recommendation To Repeal The Public Utility Holding Company Act
The Securities and Exchange Commission (SEC) recommended to the Congress in December 1981 that the Public Utility Holding Company Act of 1935 ... |
| Date June 16, 1983 |
Report No. 121656 |
Title
1. . . , United States General Accounting Office Washington, D.C. 20548FOR RELEASE ON‘ DELIVERY EXPECTEDAT 9:30 a.m. JUNE '16, 1983 STATEMENTOF CHARLESA. BOWSHER COMPTROLLER GENERALOF THE UNITED STATES BEFORE THE SENATE COMMITTEEON BANKING, HOUSING AND URBAN AFFAIRS ON CHANGESIN THE FINANCIAL SERVICES INDUSTRY AND THEIR IMPACT ON FEDERAL REGULATION Mr. Chairman: I am especially most important to... |
| Date Feb. 18, 1982 |
Report No. 117522 |
Title
h. #II r’v ..I IT’=“. STATSS GENERAL ACCOUNTING 3FFZCE 2c545 FOR RELEASE ON DELIVERY EXPECTED AT l!J A.M. EST THURSDAY, FEBRUARY 18, 1982 STATEMENT OF WASHINGTON, D.C. HENRY ESCHWEGE, DIRECTOR coM~uNrrY AND Hc0~0MIc DEVELOPMENT DIVISION BEFORE THE COYMERCE, CONSUMER, AND MONETARY AFFAIRS SUBCOMMITTEE OF THE H!lUSE COMMITTEE
ON ON GOVERNYENT OPERATIONS THE COMMODITY FUTURES TRADING COMMISSION... |
| Date April 2, 1981 |
Report No. 114789 |
Title
UNITED STATES GENER4L ACCOUNTING OFFICE 20548 WASHINGTON, D.C. FOR RELEASE ON DELIVERY EXPECTED AT 1O:OO A.M. THURSDAY, APRIL 2, 1981 STATEMENT OF FRANK C. CONAHAN DIRECTOR, INTERNATIONAL BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS, AND FINANCE HOUSE COMMITTEE ON ENERGY AND COMMERCE CONSUMER PROTECTION, DIVISION 114789 6 CON.ONRES. fl@ 4H. onb-h3
Mr. Chairman and Members the of the We appreciate... |
| Date March 6, 1981 |
Report No. AFMD-81-17 |
Title
*.I /i/\ / p-) L’ * BY THE COMPTROLLER GENERAL Report To The Chairman, Securities And Exchange Commission
OF THE UNITED STATES Securities And Exchange Commission Should Improve Procurement Practices For Market Surveillance System Development
The Securities and Exchange Commission’s procurement practices in developing an automated market surveillance system may have permitted one firm to gain a... |
| Date Jan. 1, 1981 |
Report No. 114272 |
Title
4~~~~~~~~~~~~~~~~~~~~~~~~~ ,~ ' THE COMPTROLLER GENERAL DECISION
* O F THE UNITED
N. 0. STATES
C. 20548 ~jy'W ASH INGTO /149/ / A /5 J/ Ag/fyesfi/afs
DATE: d m FILE: B-199577 February 9, 1981 MATTER OF: DIGEST: Optimum Systems, Inc. Protest to GAO is untimely when not filed within 10 working days of initial adverse action on protest to agency or, alternatively, when apparent impropriety is not pro... |
| Date Nov. 21, 1980 |
Report No. AFMD-81-2 |
Title
A, , -w Q BY THEC0MP.r %3LLERGENERAL mrt To The Congress OF THEUNITEDSTATES Mi/lions In Stock Funds Mismanaged At IDefense Personnel Support Center
The Defense Personnel Support Center, a major Depaiitment of Defense supply center, lost control o!f hundreds of millions of dollars in stock fund4 The Center made adjustments of about $566imillion in an attempt to correct its financial records but the... |
| Date Sept. 2, 1980 |
Report No. FGMSD-80-81 |
Title
UNITED STATES GENERAL ACC0t3hlTING OFWE
WASHINGTON, TILL 20548 DIVISIOW GENERAL OF FINAPKXAL MANAGLMENT AND STUDIES SEPTEMBER 2,198O 13-199434 The iionorable Harold Chairman, Securities Commission
near Mr. M. Williams and Exchange 'i 0 ,,@I I pzcc Williams: Opportunities for Improving the Quality c and Efficiency of the Securities and Exchange Commission's Process for Reviewing Reports (FGMSD-80-8... |
| Date June 20, 1980 |
Report No. HRD-80-88 |
Title
rt To The Committee On Finance United--. ,/-‘\ “y”~ States Senate -- / \ I-. I r--- UWED STATES L.-l’ -. Employer Stock Ownership Plans: Who Benefits Most In Closely Held Companies?
This report highlights problems in Employee Stock Ownership Plans of closely held companies which favor the company and adversely affect participants. These problems relate to the valuation, marketability, and ... |
| Date May 16, 1980 |
Report No. 089267 |
Title
UNITED,STATES GENERAL ACCOUNTING OFFICE 20548 WASHINGTON, D.C. FOR RELEASE ON DELIVERY EXPECTED AT 1O:OO P.M. EST FRIDAY, MAY 16, 1980 STATEMENT OF WILBUR D. CAMPBELL DEPUTY DIRECTOR, FINANCIAL AND GENERAL MANAGEMENT STUDIES DIVISION BEFORE THE ) SUBCOMMITTEE ON SECURITIES...OF. THE SENATE COMMITTEE ON BANKI-NG, HOUSING, AND URBAN AFFAIRS ON PREVENTING INVESTORS FROM BEING DEFRAUDED WHEN BUYIXG SE... |
| Date May 14, 1980 |
Report No. FGMSD-80-56 |
Title
*. .. . I” ‘>, B’r’ THE COMPTROLLER GENERAL Report ToThe Congress
OF THE UNITEDSTATES Action Needed To Better Protect Investors From Fraud In Purchasing Privately Placed Securities
Investors are being defrauded of hundreds of millions of dollars--sometimes their life savings--by buying securities purported to be privately placed and therefore exempt from registration with the Securities an... |
| Date April 28, 1980 |
Report No. FGMSD-80-55 |
Title
*_a L RELEASED CMPTRCLLEK GENERAL WASH!NG?ON, OF TI+Z “0548 UNITED STATES 0 .C . Wet to be released out&de RESTRICTED Accounting Office except on the basis 6~f specifi by the Office of Congressional Reliations. B-198581 APRIL 28,198O &he Honorable Paul S. Sarbanes Chairman, Subcommittee on Securities Committee on Banking, Housing, and Urban Affairs United States Senate Dear Mr. Chairman: 'p7 5; ... |
| Date Sept. 19, 1979 |
Report No. FGMSD-79-59 |
Title
IlllllllllllllIlllIlllllllllll
LMI 10526 BY THECOMPTROLLERGENERAL Report ToThe Congress
OF THEUNITEDSTATES Improvements Needed In The Securities And Exchange Commission‘s Efforts To Establish A National Securities MarkeT
In 1975 the Congress directed the Securities to improve market operations by bringing about a national market for the trading of securities. GAO does not believe it is possible ... |
| Date Oct. 5, 1978 |
Report No. FGMSD-78-65 |
Title
REPORT BY THE OF THE UNITED STATES ll\ll1\11lllllllllll~ll I\111 IlNll~ llllllll III
~M107352 The Congress delegated regulation of the over-the-counter securities market to privately financed national securities organizations. The National Association of Securities Dealers is the only such organization which has registered with the Commission to date. GAO identified a number of weaknesses impairin... |
| Date Nov. 29, 1977 |
Report No. 094671 |
Title
UNITED STATES GENERALACCOUNTING OFFICE WASHINGTON,D.C. 20548 I FCR RELEASE ON DELIVERY .Expected at 11:OO A.M. EST Tuesday, November 29, 1977 STATEMENTOF
- ELMER B. STAATS COMPTROLLER GENERALOF THE UNITED STATES BEFORETHE +.-, -" .-. C&h& f&24? COMMITTEEON GOVERNMENTAL AFFAIRS UNITED STATES SENATE on 2176, A Bill to amend the Accounting and Auditing Act 19flto provide for the audit, by the Comptro... |
| Date Oct. 7, 1977 |
Report No. ID-77-18 |
Title
|
| Date June 15, 1976 |
Report No. OSP-76-25 |
Title
WASWINGTCXJ. D.C. ZfSMJ Ame B-156603 15, 1976 The Honorable George f4iller The Honorable John Moss House of k?resentatives
4 .e pJ p$\\J~~~ \ llslllllllllllllllllllllu
LM098147 Gentlemen: This is in resoonse to Comptroller General. Your on Outer Continental Shelf Intericr's ofi snore roysity tionship between rr,ajor oil the Federal Government. your letter of SeDterSer 9, 7975, to the letter asked ... |
