| Date |
Report No. |
Title |
| Date Sept. 29, 2009 |
Report No. GAO-09-1049T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT Tuesday, September 29, 2009 Testimony Before the Committee on Banking, Housing, and Urban Affairs, U.S. Senate FINANCIAL REGULATION Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
Statement of Richard J. Hillman, Managing Director Financial Markets and Community Investment G... |
| Date Aug. 17, 2005 |
Report No. GAO-05-415 |
Title
United States Government Accountability Office GAO
August 2005 Report to Congressional Requesters MUTUAL FUND INDUSTRY SEC’s Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain GAO-05-415 a August 2005 MUTUAL FUND INDUSTRY Highlights
Highlights of GAO-05-415, a report to congressional requesters Accountability Integrity Reliability SEC’s Revised ... |
| 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 Aug. 29, 2003 |
Report No. GAO-03-790 |
Title
United States General Accounting Office GAO
August 2003 Report to Congressional Requesters EMPLOYMENT DISPUTES Recommendations to Better Ensure That Securities Arbitrators Are Qualified GAO-03-790 August 2003 EMPLOYMENT DISPUTES Recommendations to Better Ensure That Securities Arbitrators Are Qualified Highlights of GAO-03-790, a report to congressional requesters Employees in the securities indus... |
| Date May 14, 2003 |
Report No. GAO-03-633R |
Title
United States General Accounting Office Washington, DC 20548 May 14, 2003 The Honorable David L. Hobson Chairman The Honorable Peter J. Visclosky Ranking Minority Member Subcommittee on Energy and Water Development Committee on Appropriations House of Representatives Subject: Department of Energy: External Regulation Savings in Safety and Health Activities at DOE Science Laboratories The Departmen... |
| Date July 25, 2002 |
Report No. GAO-02-974T |
Title
United States General Accounting Office GAO Testimony
Before the Subcommittee on Energy, Committee on Science, House of Representives For Release on Delivery Expected at 10:00 a.m., EDT, Thursday, July 25, 2002 DEPARTMENT OF ENERGY Observations on Externally Regulating Nuclear and Worker Safety in DOE’s Science Laboratories
Statement by (Ms.) Gary L. Jones, Director Natural Resources and Environ... |
| Date June 26, 2002 |
Report No. GAO-02-868R |
Title
United States General Accounting Office Washington, DC 20548 June 26, 2002 The Honorable Sonny Callahan Chairman The Honorable Peter J. Visclosky Ranking Minority Member Subcommittee on Energy and Water Development Committee on Appropriations House of Representatives Subject: Department of Energy: Observations on Using External Agencies to Regulate Nuclear and Worker Safety in DOE’s Science Labo... |
| Date May 17, 2002 |
Report No. GAO-02-411 |
Title
United States General Accounting Office GAO
May 2002 Report to the Ranking Minority Member, Committee on Energy and Commerce, House of Representatives THE ACCOUNTING PROFESSION Status of Panel on Audit Effectiveness Recommendations to Enhance the Self-Regulatory System GAO-02-411 a Contents Letter
Results in Brief Background Objectives, Scope, and Methodology POB’s Oversight Authority, Independe... |
| 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 May 3, 2002 |
Report No. GAO-02-742R |
Title
Comptroller General of the United States United States General Accounting Office Washington, DC 20548 May 3, 2002 The Honorable Paul S. Sarbanes Chairman, Committee on Banking, Housing, and Urban Affairs United States Senate Subject: Accounting Profession: Oversight, Auditor Independence, and Financial Reporting Issues Dear Mr. Chairman: This letter responds to your recent request that we provide ... |
| Date Nov. 27, 2001 |
Report No. GAO-02-18 |
Title
United States General Accounting Office GAO
November 2001 Report to the Ranking Minority Member, Energy and Commerce Committee, House of Representatives SECURITIES REGULATION Improvements Needed in the Amex Listing Program GAO-02-18 Contents Letter
Results in Brief Background Listing Requirements Have Generally Addressed the Same Factors, but Amex Has Not Required That All Quantitative Requirement... |
| Date Nov. 27, 2001 |
Report No. GAO-02-20 |
Title
United States General Accounting Office GAO
November 2001 Report to Congressional Requesters SECURITIES OPERATIONS Update on Actions Taken to Address Day Trading Concerns GAO-02-20 a A United States General Accounting Office Washington, D.C. 20548 November 27, 2001 Congressional Requesters In 1999, day trading1 began to receive intense scrutiny from state and federal regulators and the Congress be... |
| Date Oct. 10, 2001 |
Report No. GAO-02-111 |
Title
United States General Accounting Office GAO
October 2001 Report to the Chairman, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate ANTI-MONEY LAUNDERING Efforts in the Securities Industry GAO-02-111 a Contents Letter
Results in Brief Background The Securities Industry Is Viewed as a Potential Target, but the Extent of Actual Money Laundering Is Unknown Broker... |
| Date July 25, 2001 |
Report No. GAO-01-863 |
Title
United States General Accounting Office GAO
July 2001 Report to the Ranking Minority Member, Committee on Energy and Commerce, House of Representatives INFORMATION SYSTEMS Opportunities Exist to Strengthen SEC's Oversight of Capacity and Security GAO-01-863 Contents Letter
Results in Brief Background Scope and Methodology SEC Uses a Wide Range of Criteria but Lacks a Consolidated Guide for Plannin... |
| Date July 20, 2001 |
Report No. GAO-01-858 |
Title
United States General Accounting Office GAO
July 2001 Report to Congressional Requesters ON-LINE TRADING Investor Protections Have Improved but Continued Attention Is Needed GAO-01-858 Contents Letter
Results in Brief Background Scope and Methodology On-line Trading Activity and Complaints Involving On-line Trading Peaked in the First Quarter of 2000 Regulators Have Taken Substantial Action to Enh... |
| Date July 13, 2001 |
Report No. GAO-01-900 |
Title
United States General Accounting Office GAO
July 2001 Report to the Ranking Minority Member, Committee on Energy and Commerce, House of Representatives SEC AND CFTC Most Fines Collected, but Improvements Needed in the Use of Treasury’s Collection Service GAO-01-900 Contents Letter
Results in Brief Background Scope and Methodology Regulators’ Collection Rates Have Generally Improved, but Impact... |
| Date April 27, 2001 |
Report No. GAO-01-654R |
Title
United States General Accounting Office Washington, DC 20548 April 27, 2001 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey House of Representatives Subject: Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Our June 2000 report, Securities Arbitration: Actions Needed to Addre... |
| Date March 6, 2001 |
Report No. GAO-01-478T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 2:00 p.m. EDT on Tuesday March 6, 2001 Testimony
Before the Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services House of Representatives FINANCIAL SERVICES REGULATORS Better Information Sharing Could Reduce Fraud
Statement of R... |
| Date April 26, 1999 |
Report No. GGD-99-53 |
Title
United States General Accounting Office GAO
April 1999 Report to the Ranking Minority Member Committee on Commerce House of Representatives SECURITIES REGULATION Actions Taken to Improve Nasdaq Listing Procedures GAO/GGD-99-53 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-281373 April 26, 1999 The Honorable John D. Dingell Ranking Minority Member ... |
| Date March 22, 1999 |
Report No. T-GGD-99-34 |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 1:30 p.m. EST on Monday March 22, 1999 Testimony
Before the Permanent Subcommittee on Investigations Committee on Governmental Affairs U.S. Senate SECURITIES FRAUD The Internet Poses Challenges to Regulators and Investors
Statement of Richard J. Hillman Associate Director, Financial Institutions and Markets Issues Gene... |
| Date Nov. 2, 1998 |
Report No. GGD-99-8 |
Title
United States General Accounting Office GAO
November 1998 Report to Congressional Committees MONEY PENALTIES Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data GAO/GGD-99-8 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-275115 November 2, 1998 The Honorable Alfonse M. D’Amato Chairman The Honorable Paul ... |
| Date Sept. 30, 1998 |
Report No. GGD-98-204 |
Title
United States General Accounting Office GAO
September 1998 Report to Congressional Committees SEC ENFORCEMENT Responses to GAO and SEC Recommendations Related to Microcap Stock Fraud GAO/GGD-98-204 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-279399 September 30, 1998 The Honorable Susan M. Collins Chairman The Honorable John Glenn Ranking Minori... |
| Date 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 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 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 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 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 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 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 Aug. 26, 1992 |
Report No. GGD-92-28R |
Title
is r-l CI I’ GAO UnIted States General Accounting OMce Washington, D.C.2Ops48 General Government Divisign ’ -7 B-250056.1 August 26, 1992 The Honorable John D. Dingell Chairman, Committee on Energy and Commerce House of Representatives Dear Mr. Chairman: request and In response to your March 1, 1991 written subsequent discussions with Consuela Washington of your staff, we reviewed Commodity Fu... |
| Date April 25, 1991 |
Report No. GGD-91-52 |
Title
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
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 11, 1990 |
Report No. GGD-90-33 |
Title
-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 Aug. 5, 1988 |
Report No. GGD-88-116 |
Title
-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 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 May 13, 1987 |
Report No. T-GGD-87-16 |
Title
United States General Accounting Of&e / 32 93 Testimony For Release on Delivery Expected at 9:30 a.m. DST Wednesday May 13, 1987 Perspectives on the Securities Exchange Commission's Budget and Statement of Assistant William J. Anderson, General General Government Programs Before the Subcommittee on Securities Committee on Banking, Housing Affairs United States Senate Comptroller * and Urban llllll... |
| 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 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 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 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 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 15, 1982 |
Report No. CED-82-100 |
Title
|
| Date March 2, 1982 |
Report No. 117710 |
Title
United States General Accounting Washington, D.C. 20548 Office FOR RELEASEON DELIVERY Expected at 9:30 a.m. March 2, 1982 Statement of Henry -Eschwege, Director Community and Economic Development Division Before the Subcommittee on Agricultural Research and General Legislation of the Senate Committee on Agriculture, on the Reauthorization of the Commodity Futures Trading Commissioni Nutrition, and... |
| Date Feb. 24, 1982 |
Report No. 117649 |
Title
United States General Accounting Washington, D.C. 20548 Office FOR RELEASE ON DELIVERY Expected at 11:00 a.m. February 24, 1982 Statement of Henry Eschwege, Director Community and Economic Development before the on Investigations Division Senate Permanent Subcommittee of the Committee on Governmental on Affairs
117649 Customer Protection Commodity Futures Activities Trading of the Commission Mr. C... |
| Date Feb. 23, 1982 |
Report No. 117553 |
Title
United States General Accounting D.C. 20548 Office Washington, FOR RELEASE ON DELIVERY Expected at 9:30 a.m. February 23, 1982
..- Statement Charles Comptroller General Before Subcommittee on Conservation, of
117553 A. Bowsher of the United the Credit, and Rural Development States of the House Committee on Agriculture on the Reauthorization Kr. Chairman of the Commodity Futures Trading Commission ... |
| 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 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... |
