| Date |
Report No. |
Title |
| Date July 21, 2011 |
Report No. GAO-11-664 |
Title
United States Government Accountability Office Washington, DC 20548 B-321063 July 21, 2011 The Honorable Tim Johnson Chairman The Honorable Richard C. Shelby Ranking Member Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Spencer Bachus Chairman The Honorable Barney Frank Ranking Member Committee on Financial Services House of Representatives Subject: Securities ... |
| Date Jan. 22, 2010 |
Report No. GAO-10-96 |
Title
United States Government Accountability Office GAO
January 2010 Report to Congressional Requesters BORDER SECURITY Better Usage of Electronic Passport Security Features Could Improve Fraud Detection GAO-10-96 January 2010 BORDER SECURITY Highlights
Highlights of GAO-10-96, a report to congressional requesters Accountability Integrity Reliability Better Usage of Electronic Passport Security Feature... |
| Date May 7, 2009 |
Report No. GAO-09-613T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 2:30 p.m. EDT Thursday, May 7, 2009 Testimony Before the Subcommittee on Securities, Insurance, and Investment, Senate Committee on Banking, Housing, and Urban Affairs SECURITIES AND EXCHANGE COMMISSION Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforceme... |
| Date March 16, 2009 |
Report No. GAO-09-203 |
Title
United States Government Accountability Office GAO
March 2009 Report to the Chairman, Securities and Exchange Commission INFORMATION SECURITY Securities and Exchange Commission Needs to Consistently Implement Effective Controls
This is a revised version of a prior report that was issued on March 16, 2009 with an incorrect attachment. GAO-09-203 March 2009 INFORMATION SECURITY Highlights
Highlights... |
| Date June 7, 2005 |
Report No. GAO-05-692T |
Title
United States Government Accountability Office GAO
For Release on Delivery Expected at 4:00 p.m. EDT Tuesday, June 7, 2005 Testimony Before the Subcommittee on Commercial and Administrative Law, Committee on the Judiciary, House of Representatives SEC MUTUAL FUND OVERSIGHT Positive Actions Are Being Taken, but Regulatory Challenges Remain
Statement of Richard J. Hillman, Director Financial Markets... |
| Date May 16, 2005 |
Report No. GAO-05-385 |
Title
United States Government Accountability Office GAO
May 2005 Report to Congressional Requesters MUTUAL FUND TRADING ABUSES SEC Consistently Applied Procedures in Setting Penalties, but Could Strengthen Certain Internal Controls GAO-05-385 May 2005 MUTUAL FUND TRADING ABUSES Highlights
Highlights of GAO-05-385, a report to congressional requesters Accountability Integrity Reliability SEC Consistentl... |
| Date Aug. 2, 2001 |
Report No. GAO-01-990R |
Title
United States General Accounting Office Washington, DC 20548 August 2, 2001 The Honorable Michael G. Oxley Chairman Committee on Financial Services House of Representatives Subject: Briefing Slides on Martin Frankel's Alleged $200 Million Insurance Scam As you requested, this report transmits to you our briefing slides describing insurance regulatory oversight and information sharing in the matter... |
| 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 Feb. 4, 2000 |
Report No. AIMD-00-54R |
Title
United States GeneraI Accounting Washington, DC 20548 Office Accounting and Information Management Division B-284292 February 4,200O The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives Subject: Securities Exchange Act: Review of Renorting Dear Mr. Dingell: This letter responds to your request that we review reporting under Section 1OA of the Securit... |
| 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 Dec. 19, 1997 |
Report No. GGD-98-43R |
Title
United States General Accountixig Office Washington, D.C. 20548 General Government Division B;278814 December 19, 1997 < : The Honorable Thomas J. Bliley C-an, Committee on Commerce House of -Representatives-. Subject: OTC Derivatives: Lawsuits Involving Sales Practice Concerns -‘ Dear Mr. Chairman: This letter responds to a request made by your office during an October 16, 1997, briefjng on our... |
| Date Oct. 2, 1997 |
Report No. GGD-98-5 |
Title
United States General Accounting Office GAO
October 1997 Report to the Honorable Edward J. Markey, House of Representatives OTC DERIVATIVES Additional Oversight Could Reduce Costly Sales Practice Disputes GAO/GGD-98-5 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259982 October 2, 1997 The Honorable Edward J. Markey House of Representatives Dear M... |
| 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 May 1, 1996 |
Report No. IAP-96-11 |
Title
United States General 156’ 7’ 2’ 3 Accounting Office General Government Division May 1996 Financial Institutions and Markets Issue Area Plans Fiscal Years 1997-98 GAO/IAP-96-11 Foreword As the investigtive arm of Congress and the nation’ auditor, the General s Accounting Office is charged with following the federal dollar wherever it goes. Reflecting stringent standards of objectivity and ... |
| Date March 28, 1995 |
Report No. T-RCED-95-145 |
Title
1. United S ta te s G e n e r a l A c c o u n tin g O ffice Y .. G A O
For R e l e a s e o n Delivery Expected at 1 0 a.m. E S T Tuesday March Z&l995 T e s tim o n y
B e fo r e th e C o m m itte e o n S m a ll Business, H o u s e o f R e p r e s e n ta tives SMALL BUSINESS A D M INIS T R A T IO N S ta tu s o f S m a ll B u sin e ss In v e s tm e n t C o m p a n ies
S ta te m e n t o f Jim W e lls,... |
| 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 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 April 27, 1993 |
Report No. IMTEC-93-28 |
Title
1Jui t cd St ;rtes Gc~nvral Accounting Office Ikport t,o th.r?Secretary of the Treasury -- AUTOMATION Automated Auction System May Not Achieve Benefits or Operate Properly |
| Date March 16, 1993 |
Report No. GGD-93-70BR |
Title
Ilrritecl Statm |
| Date Feb. 3, 1993 |
Report No. GGD-93-59 |
Title
GAO Fkport to Congressional Committees Regulatory Actions to Reduce Potential for Fraud and Abuse 148481 / j:;AO/(;C;I)-93-R9 GAO United States General Accounting Office Washington, D.C. 20648 General Government Division B-260730 February 3,1993 The Honorable Donald W. Riegle, Jr. Chairman, Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Christopher J. Dodd Chai... |
| Date Sept. 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 June 4, 1992 |
Report No. T-GGD-92-46 |
Title
United States General Accounting Office GAO
For Rcktsc on Delivery Expcctcd at 9:30 a.m. EDT Thurday June 4, 1992 Testimony
Before the Subcommittee on Telecommunications and Finance Committee on Energy and Commerce, House of Representatives INVESTMENT
t .: ADVISERS Oversight is Inadequatefor Investor Protection
Statement of Richard L. Fogel Assistant Comptroller Gfieral General Government P&grams ... |
| Date 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 Aug. 21, 1991 |
Report No. GGD-91-115 |
Title
, . 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 June 26, 1990 |
Report No. GGD-90-83 |
Title
. .(‘- .._ 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 Sept. 7, 1989 |
Report No. GGD-89-120 |
Title
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 March 13, 1989 |
Report No. GGD-89-58 |
Title
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 Feb. 23, 1989 |
Report No. T-GGD-89-8 |
Title
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 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 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 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 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 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 June 26, 1982 |
Report No. AFMD-82-70 |
Title
CCSMPTROLLER GENERAL
WASHINGTON OF
D.C. THE UN ITED STATES 20548 B-208248 The Honorable Frank R. Wolf House of Representatives Dear Mr. Wolf: Alleged Abuses in the U.S. Division of the Department (GAO/AFMD-82-70) Savings Bond of the Treasury Subject: On May 8, 1981, you asked us to review allegations of abuses in the Savings Bond Division of the Department of the Treasury that The prinwere made by... |
| 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 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; ... |
