| Date |
Report No. |
Title |
| Date July 26, 2011 |
Report No. GAO-11-697 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees MUTUAL FUND ADVERTISING Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors GAO-11-697 July 2011 MUTUAL FUND ADVERTISING
Accountability • Integrity • Reliability Highlights of GAO-11-697, a report to congressional committees Improving How Regulat... |
| Date July 11, 2011 |
Report No. GAO-11-623 |
Title
United States Government Accountability Office GAO
July 2011 Report to Congressional Committees PRIVATE FUND ADVISERS Although a SelfRegulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs GAO-11-623 July 2011 PRIVATE FUND ADVISERS
Accountability • Integrity • Reliability Highlights of GAO-11-623, a report to congressional committees Although a Self-R... |
| Date Jan. 28, 2011 |
Report No. GAO-11-119 |
Title
United States Government Accountability Office GAO
January 2011 Report to the Ranking Member, Committee on Education and the Workforce, House of Representatives 401(K) PLANS Improved Regulation Could Better Protect Participants from Conflicts of Interest GAO-11-119 January 2011 401(K) PLANS
Accountability • Integrity • Reliability Improved Regulation Could Better Protect Participants from Conf... |
| Date Sept. 4, 2009 |
Report No. GAO-09-641 |
Title
United States Government Accountability Office GAO
September 2009 Report to the Chairman, Committee on Ways and Means, House of Representatives RETIREMENT SAVINGS Better Information and Sponsor Guidance Could Improve Oversight and Reduce Fees for Participants GAO-09-641 September 2009 RETIREMENT SAVINGS Highlights
Highlights of GAO-09-641, a report to the Chairman, Committee on Ways and Means, Hou... |
| Date Jan. 30, 2009 |
Report No. GAO-09-285R |
Title
United States Government Accountability Office Washington, DC 20548 January 30, 2009 The Honorable Collin Peterson Chairman Committee on Agriculture House of Representatives Subject: Issues Involving the Use of the Futures Markets to Invest in Commodity Indexes Until mid-2008, prices for a broad range of physical commodities, from crude oil to crops such as wheat, had increased dramatically for se... |
| Date June 29, 2007 |
Report No. GAO-07-765 |
Title
United States Government Accountability Office GAO
June 2007 Report to Congressional Requesters CORPORATE SHAREHOLDER MEETINGS Issues Relating to Firms That Advise Institutional Investors on Proxy Voting GAO-07-765 June 2007 CORPORATE SHAREHOLDER MEETINGS Highlights
Highlights of GAO-07-765, a report to congressional requesters Accountability Integrity Reliability Issues Relating to Firms That Adv... |
| Date Nov. 16, 2006 |
Report No. GAO-07-21 |
Title
United States Government Accountability Office GAO
November 2006 Report to the Ranking Minority Member, Committee on Education and the Workforce, House of Representatives PRIVATE PENSIONS Changes Needed to Provide 401(k) Plan Participants and the Department of Labor Better Information on Fees GAO-07-21 November 2006 Highlights
Highlights of GAO-07-21, a report to Ranking Minority Member, Committee... |
| 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 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 April 20, 2005 |
Report No. GAO-05-313 |
Title
United States Government Accountability Office GAO
April 2005 Report to the Committee on the Judiciary, House of Representatives MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage GAO-05-313 a April 2005 MUTUAL FUND TRADING ABUSES Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage Highlights of GAO-05-313, a... |
| Date July 9, 2004 |
Report No. GAO-04-799 |
Title
United States General Accounting Office GAO
July 2004 Report to the Subcommittee on Oversight, Committee on Ways and Means, House of Representatives MUTUAL FUNDS SEC Should Modify Proposed Regulations to Address Some Pension Plan Concerns GAO-04-799 July 2004 MUTUAL FUNDS SEC Should Modify Proposed Regulations to Address Some Pension Plan Concerns Highlights of GAO-04-799, a report to the Subcommi... |
| Date April 20, 2004 |
Report No. GAO-04-584T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:30 a.m. EST Tuesday, April 20, 2004 Testimony Before the Subcommittee on Government Efficiency and Financial Management, Committee on Government Reform, House of Representatives SEC OPERATIONS Oversight of Mutual Fund Industry Presents Management Challenges
Statement of Richard J. Hillman, Director, Financial Market... |
| Date March 10, 2004 |
Report No. GAO-04-533T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, March 10, 2004 Testimony Before the Committee on Banking, Housing and Urban Affairs, U.S. Senate MUTUAL FUNDS Assessment of Regulatory Reforms to Improve the Management and Sale of Mutual Funds
Statement of David M. Walker Comptroller General of the United States GAO-04-533T March 10, 2004 MUT... |
| Date Jan. 27, 2004 |
Report No. GAO-04-317T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Tuesday, January 27, 2004 Testimony Before the Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, U.S. Senate MUTUAL FUNDS Additional Disclosures Could Increase Transparency of Fees and Other Practices
Statement of Richard J. Hillman, Director,... |
| Date June 18, 2003 |
Report No. GAO-03-909T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, June 18, 2003 Testimony
Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, House of Representatives MUTUAL FUNDS Additional Disclosures Could Increase Transparency of Fees and Other Practices
Statement of Richard J. Hill... |
| Date June 9, 2003 |
Report No. GAO-03-763 |
Title
United States General Accounting Office GAO
June 2003 Report to Congressional Requesters MUTUAL FUNDS Greater Transparency Needed in Disclosures to Investors GAO-03-763 a June 2003 MUTUAL FUNDS Greater Transparency Needed in Disclosures to Investors Highlights of GAO-03-763, a report to the Chairman, House Committee on Financial Services and Chairman, Subcommittee on Capital Markets, Insurance and... |
| Date March 12, 2003 |
Report No. GAO-03-551T |
Title
United States General Accounting Office GAO
For Release on Delivery Expected at 10:00 a.m. EST Wednesday, March 12, 2003 Testimony
Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, House of Representatives MUTUAL FUNDS Information on Trends in Fees and Their Related Disclosure
Statement for the Record by Richard J. Hillman ... |
| 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 May 3, 2001 |
Report No. GAO-01-655R |
Title
United States General Accounting Office Washington, DC 20548 May 3, 2001 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives Subject: SEC's Report Provides Useful Information On Mutual Fund Fees And Recommends Improved Fee Disclosure Dear Mr. Dingell: This letter responds to your request that we comment on the findings and recommendations... |
| Date June 7, 2000 |
Report No. GGD-00-126 |
Title
United States General Accounting Office GAO
June 2000 Report to the Chairman, Subcommittee on Finance and Hazardous Materials; and the Ranking Member, Committee on Commerce, House of Representatives MUTUAL FUND FEES Additional Disclosure Could Encourage Price Competition GAO/GGD-00-126 United States General Accounting Office Washington, D.C. 20548 General Government Division B-281444 June 5, 2000 ... |
| Date Jan. 19, 2000 |
Report No. AIMD/HEHS-00-56 |
Title
United States General Accounting Office GAO
January 2000 Report to the Ranking Minority Member, Subcommittee on Social Security, Committee on Ways and Means, House of Representatives SOCIAL SECURITY REFORM Information on the Archer-Shaw Proposal GAO/AIMD/HEHS-00-56 Contents Letter Appendixes
Appendix I: Criteria for Evaluating Social Security Reform Proposals Appendix II: The Economic Model and As... |
| Date May 28, 1997 |
Report No. GGD-97-67 |
Title
United States General Accounting Office GAO
May 1997 Report to Congressional Committees MUTUAL FUNDS SEC Adjusted Its Oversight in Response to Rapid Industry Growth GAO/GGD-97-67 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-271654 May 28, 1997 The Honorable Alfonse M. D’Amato Chairman The Honorable Paul S. Sarbanes Ranking Minority Member Commi... |
| Date June 26, 1996 |
Report No. T-GGD-96-141 |
Title
United States General Accounting Office GAO
Not to be Released Before 10:00 a.m. EDT Wednesday June 26, 1996 Testimony
Before the Subcommittee on Capital Markets Securities and Government Sponsored Enterprises Committee on Banking and Financial Services House of Representatives BANK MUTUAL FUNDS Improvements in Risk Disclosure Needed
Statement for the Record of James L. Bothwell, Director Financia... |
| Date Jan. 2, 1996 |
Report No. AA-96-6(1) |
Title
United States General Accounting Office GAO
J,-muary 1996 General Government Division o Financial Institutions
and Markets Issue Area Active Assignments GAO/AA-96-6(1) Foreword This report was prepared primarily to inform Congressional members and key staff of ongoing assignments in the General Accounting Office's Financial Institutions and Markets issue area This report contains assignments that ... |
| Date Oct. 1, 1995 |
Report No. AA-95-7(4) |
Title
United States General Accounting Office GAO
October 1995_ General Government Division Financial Institutions
and Markets Issue Area Active Assignments ,_ 0653A/A9 -/7(4
GAO/AA-95-7(4) Foreword This report was prepared primarily to inform Congressional members and key staff of ongoing assignments in the General Accounting Office's Financial Institutions and Markets issue area This report contains a... |
| Date Sept. 27, 1995 |
Report No. GGD-95-210 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters BANK MUTUAL FUNDS Sales Practices and Regulatory Issues GAO/GGD-95-210 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259882 September 27, 1995 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives The Honorab... |
| Date Sept. 22, 1995 |
Report No. GGD-95-230 |
Title
United States General Accounting Office GAO
September 1995 Report to Congressional Requesters MUTUAL FUNDS Impact on Bank Deposits and Credit Availability GAO/GGD-95-230 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259968 September 22, 1995 The Honorable James A. Leach Chairman The Honorable Henry B. Gonzalez Ranking Minority Member Committee on ... |
| Date July 1, 1995 |
Report No. AA-95-7(3) |
Title
United States General Accounting Office GAO General Government Division July 1995 Financial Institutions * * and Markets Issue Area Active Assignments /(72o 0('4 W7/t-5 GAO/AA-95-7(3) I ,I Foreword This report was prepared primarily to inform Congressional members and key staff of ongoing assignments in the General Accounting Office's Financial Institutions and Markets issue area This report conta... |
| Date March 16, 1995 |
Report No. GGD-95-21 |
Title
United States General Accounting Office GAO
March 1995 Report to Congressional Requesters TRUST ASSETS Investment of Trust Assets in Bank Proprietary Mutual Funds GAO/GGD-95-21 GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-259962 Letter Date Goes Here The Honorable Joe Barton, Chairman The Honorable John D. Dingell Ranking Minority Member Subcommi... |
| Date Dec. 13, 1994 |
Report No. GGD-95-47R |
Title
GAO United States General Accounting Office Washington, D.C. 20548 General Government Division B-258440 December 13, 1994 The Honorable Henry B. Gonzalez Committee on Banking, Chairman, Finance and Urban Affairs House of Representatives Dear Mr. Chairman: This correspondence is in partial response to your request As part of that that we review bank mutual fund activities. request you asked about t... |
| Date Feb. 9, 1989 |
Report No. T-HRD-89-5 |
Title
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 Sept. 27, 1988 |
Report No. T-GGD-88-54 |
Title
Unbd States General Accounting OBBce ) SC45 I t?xAO Testimony For Release on Delivery Expected at 10:00 a.m. EDT Tuesday September 27, 1988 Taxes Life Incurred Insurance by, and Business Trerds of, the Industry Statement Jennie General of E. Stathis, Gcvernment Associate Division Director Before the Subcommittee
Committee House of on Select Revenue on Ways and Means Representatives Measures 1j 1 â... |
| Date Oct. 6, 1986 |
Report No. RCED-87-22 |
Title
. *tobe!r 1986 llllllllllllllll
131247 : . . United States General Accounting Office Washington, D.C. 20548 Resources, Community, Economic Development
R-222777 and Division October 6, 1986 The Honorable John B. Breaux Chairman The Honorable Don Young Ranking Minority Member Subcommittee on Fisheries and Wildlife Conservation and the Environment Committee on Merchant Marine and Fisheries House of R... |
| 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... |
