| Date |
Report No. |
Title |
| Date April 11, 2003 |
Report No. GAO-03-162R |
Title
United States General Accounting Office Washington, DC 20548 April 11, 2003 The Honorable John D. Dingell Ranking Minority Member Committee on Energy and Commerce House of Representatives The Honorable Edward J. Markey Ranking Minority Member Subcommittee on Telecommunications and the Internet Committee on Energy and Commerce House of Representatives Subject: Follow-up Report on Matters Relating t... |
| 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 Nov. 9, 2000 |
Report No. GAO-01-162R |
Title
United States General Accounting Office Washington, D.C. 20548 November 9, 2000 The Honorable John D. Dingell Ranking Minority Member Committee on Commerce House of Representatives Dear Mr. Dingell: Subject: Procedures for Updating Arbitrator Disclosure Information This report responds to your March 23, 2000, request that we evaluate the effectiveness of the National Association of Securities Deal... |
| 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 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 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 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 July 15, 1982 |
Report No. CED-82-100 |
Title
|
| 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... |
