Consultants (1 - 3 of 3 items)
State Small Business Credit Initiative: Opportunities Exist to Enhance Performance Measurement and Evaluation
GAO-14-97: Published: Dec 18, 2013. Publicly Released: Dec 18, 2013.
As of June 30, 2013, State Small Business Credit Initiative (SSBCI) participants--states, territories, and municipalities--had used $549 million of the $1.5 billion the Department of the Treasury (Treasury) allocated to them, nearly four times the amount used as of June 30, 2012. However, the rates at which participants have used funds continue to vary, as shown below. While initial challenges gen...
Investment Advisers: Oversight Is Inadequate for Investor Protection
T-GGD-92-46: Published: Jun 4, 1992. Publicly Released: Jun 4, 1992.
GAO discussed the Securities and Exchange Commission's (SEC) regulation of investment advisers. GAO noted that: (1) SEC requires investment advisers to register and approves completed applications if it does not find any disqualifying securities violations in its files, but does not prescribe professional qualifications for advisers, verify applicants' education and business backgrounds, or have p...