Securities (1 - 2 of 2 items) in Past 6 Months
Financial Audit: Securities and Exchange Commission's Fiscal Years 2016 and 2015 Financial Statements
GAO-17-158R: Published: Nov 15, 2016. Publicly Released: Nov 15, 2016.
GAO found (1) the United States Securities and Exchange Commission’s (SEC) and its Investor Protection Fund’s (IPF) financial statements as of and for the fiscal years ended September 30, 2016, and 2015, are presented fairly, in all material respects, in accordance with U.S. generally accepted accounting principles; (2) SEC maintained, in all material respects, effective internal control over...
Securities and Exchange Commission: Management Has Enhanced Supervisory Controls and Could Further Improve Efficiency
GAO-17-16: Published: Oct 6, 2016. Publicly Released: Oct 6, 2016.
As of the end of fiscal year 2015, the internal supervisory control framework of the Securities and Exchange Commission (SEC) reflected key components of federal internal control, including identifying and assessing risks; designing, implementing, monitoring, and evaluating controls; and reporting the results. Internal supervisory controls are management processes to help ensure that procedures ap...