| Date |
Report No. |
Title |
| Date Aug. 31, 2011 |
Report No. GAO-11-901SP |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 8:30 a.m. EDT Wednesday, August 31, 2011 Statement Before the U.S. Department of Labor’s Advisory Council on Employee Welfare and Pension Benefit Plans DEFINED BENEFIT PENSION PLANS Plans Face Challenges When Investing in Hedge Funds and Private Equity
Statement of Barbara Bovbjerg, Managing Director Education... |
| 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 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 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 Nov. 14, 2008 |
Report No. GAO-09-173 |
Title
United States Government Accountability Office GAO
November 2008 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2008 and 2007 GAO-09-173 a November 2008 FINANCIAL AUDIT Highlights
Highlights of GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Acco... |
| Date Aug. 14, 2008 |
Report No. GAO-08-692 |
Title
United States Government Accountability Office GAO
August 2008 Report to Congressional Requesters DEFINED BENEFIT PENSION PLANS Guidance Needed to Better Inform Plans of the Challenges and Risks of Investing in Hedge Funds and Private Equity GAO-08-692 August 2008 DEFINED BENEFIT PENSION PLANS Highlights
Highlights of GAO-08-692, a report to congressional requesters Accountability Integrity Reliab... |
| Date Nov. 16, 2007 |
Report No. GAO-08-167 |
Title
United States Government Accountability Office GAO
November 2007 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2007 and 2006 GAO-08-167 November 2007 FINANCIAL AUDIT Highlights
Highlights of GAO-08-167, a report to the Chairman, United States Securities and Exchange Commission Ac... |
| 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. 15, 2006 |
Report No. GAO-07-134 |
Title
United States Government Accountability Office GAO
November 2006 Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission’s Financial Statements for Fiscal Years 2006 and 2005 GAO-07-134 a November 2006 FINANCIAL AUDIT Highlights
Highlights of GAO-07-134, a report to Chairman of the Securities and Exchange Commission Accountabili... |
| Date July 24, 2006 |
Report No. GAO-06-678 |
Title
United States Government Accountability Office GAO
July 2006 Report to the Ranking Minority Member, Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL RESTATEMENTS Update of Public Company Trends, Market Impacts, and Regulatory Enforcement Activities
On March 5, 2007, this report was reissued to amend our economic analysis and selected company shares outstanding (see next page... |
| Date May 31, 2005 |
Report No. GAO-05-535 |
Title
United States Government Accountability Office GAO
May 2005 Report to Congressional Requesters SECURITIES MARKETS Decimal Pricing Has Contributed to Lower Trading Costs and a More Challenging Trading Environment GAO-05-535 a May 2005 SECURITIES MARKETS Highlights
Highlights of GAO-05-535, a report to congressional requesters Accountability Integrity Reliability Decimal Pricing Has Contributed to L... |
| 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 22, 2004 |
Report No. GAO-04-968T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 10:00 a.m. EDT Thursday, July 22, 2004 Testimony Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs SECURITIES MARKETS Preliminary Observations on the Use of Subpenny Pricing
Statement of Davi M. D’Agostino, Director Financial Markets and Community Investment GAO-04-968T July 22, 2004 SECU... |
| Date April 8, 2004 |
Report No. GAO-04-75 |
Title
United States General Accounting Office GAO
April 2004 Report to Congressional Requesters SECURITIES MARKETS Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight GAO-04-75 a April 2004 SECURITIES MARKETS Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight Highlights of GAO-04-75, a report to congressional requesters The equit... |
| 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-03-251 |
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-03-468T |
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 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 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 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 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 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 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 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 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 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 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 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 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 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 May 1, 1997 |
Report No. GGD-97-96 |
Title
United States General Accounting Office GAO
May 1997 Staff Study FINANCIAL CRISIS MANAGEMENT Four Financial Crises in the 1980s GAO/GGD-97-96 Preface The increasing interconnectedness of financial institutions and markets has highlighted the need to ensure that diverse federal, state, international, and private financial organizations work together to effectively contain and resolve financial disr... |
| 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 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 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 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 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 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 March 10, 1992 |
Report No. GGD-92-41 |
Title
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
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 Sept. 26, 1991 |
Report No. GGD-91-135 |
Title
!) ‘ 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. IMTEC-91-62 |
Title
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
.~ .._ _ ._ .-.. .._..._._____ -... -.-___-- 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
---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 May 10, 1991 |
Report No. IMTEC-91-37 |
Title
___I_~.___~_I_-_.-I____I-_~--~ I May I !W 1 STOCK MARKET AUTOM A T ION Exchanges Have Increased Systems’ Capacities Since the 1987 Market Crash 143862 ~- (;AO/IM ’ E(:-!)I-:‘ I‘ 17 / .I 1 j I * _._.--..-__l--__“_l...-_“-~... ...l...ll. ..“_.I**. .“ll.l..-.-._._---.---II. .” _I. -.II._...... ._.~ . _...._. I. --- I Il_----l_ united states General Accounting Of’ fice Washington, ... |
| Date April 2, 1991 |
Report No. IMTEC-91-21 |
Title
.-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... |
