Status of Open Recommendations

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Bank Fees: Federal Banking Regulators Could Better Ensure That Consumers Have Required Disclosure Documents Prior to Opening Checking or Savings Accounts.: GAO-08-281 January 31, 2008; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 84 Pages) Accessible Text (HTML) Recommendations (HTML)
Bank Oversight Structure: U.S. and Foreign Experience May Offer Lessons for Modernizing U.S. Structure.: GGD-97-23 November 20, 1996; Abstract (HTML) Full Report (PDF, 136 Pages) Recommendations (HTML)
Bank Oversight: Fundamental Principles for Modernizing the U.S. Structure.: T-GGD-96-117 May 2, 1996; Abstract (HTML) Full Report (PDF, 20 Pages) Recommendations (HTML)
Bank Secrecy Act: Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts.: GAO-09-227 February 12, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 110 Pages) Accessible Text (HTML) Recommendations (HTML)
Bank Secrecy Act: FinCEN and IRS Need to Improve and Better Coordinate Compliance and Data Management Efforts.: GAO-07-212 December 15, 2006; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 59 Pages) Accessible Text (HTML) Recommendations (HTML)
Bank Secrecy Act: Suspicious Activity Report Use Is Increasing, but FinCEN Needs to Further Develop and Document Its Form Revision Process.: GAO-09-226 February 27, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 53 Pages) Accessible Text (HTML) Recommendations (HTML)
Commodity Futures Trading Commission: Trends in Energy Derivatives Markets Raise Questions about CFTC's Oversight.: GAO-08-25 October 19, 2007; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 89 Pages) Accessible Text (HTML) Recommendations (HTML)
Credit Unions: Financial Condition Has Improved, but Opportunities Exist to Enhance Oversight and Share Insurance Management.: GAO-04-91 October 27, 2003; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 183 Pages) Accessible Text (HTML) Recommendations (HTML)
Fair Lending: Data Limitations and the Fragmented U.S. Financial Regulatory Structure Challenge Federal Oversight and Enforcement Efforts.: GAO-09-704 July 15, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 102 Pages) Accessible Text (HTML) Recommendations (HTML)
Federal Reserve Banks: Areas for Improvement in Information Security Controls.: GAO-08-836R June 16, 2008; Abstract (HTML) Full Report (PDF, 9 Pages) Accessible Text (HTML) Recommendations (HTML)
Federal Reserve Banks: Areas for Improvement in Information Security Controls.: GAO-09-722R May 29, 2009; Abstract (HTML) Full Report (PDF, 9 Pages) Accessible Text (HTML) Recommendations (HTML)
Federal Reserve System Audits: Restrictions on GAO's Access.: T-GGD-94-44 October 27, 1993; Abstract (HTML) Full Report (PDF, 16 Pages) Recommendations (HTML)
Federal Reserve System: Current and Future Challenges Require Systemwide Attention.: GGD-96-128 June 17, 1996; Abstract (HTML) Full Report (PDF, 158 Pages) Recommendations (HTML)
Financial Market Regulation: Agencies Engaged in Consolidated Supervision Can Strengthen Performance Measurement and Collaboration.: GAO-07-154 March 15, 2007; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 86 Pages) Accessible Text (HTML) Recommendations (HTML)
Financial Markets Regulation: Financial Crisis Highlights Need to Improve Oversight of Leverage at Financial Institutions and across System.: GAO-09-739 July 22, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 136 Pages) Accessible Text (HTML) Recommendations (HTML)
Financial Regulators: Agencies Have Implemented Key Performance Management Practices, but Opportunities for Improvement Exist.: GAO-07-678 June 18, 2007; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 153 Pages) Accessible Text (HTML) Recommendations (HTML)
Financial Restatements: Update of Public Company Trends, Market Impacts, and Regulatory Enforcement Activities.: GAO-06-678 July 24, 2006; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 216 Pages) Accessible Text (HTML) Recommendations (HTML)
Hospital Mortgage Insurance Program: Program and Risk Management Could Be Enhanced.: GAO-06-316 February 28, 2006; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 66 Pages) Accessible Text (HTML) Recommendations (HTML)
Internal Control: Improvements Needed in SEC's Accounting and Financial Reporting Process.: GAO-08-461R April 1, 2008; Abstract (HTML) Full Report (PDF, 21 Pages) Accessible Text (HTML) Recommendations (HTML)
Long-Term Capital Management: Regulators Need to Focus Greater Attention on Systemic Risk.: GGD-00-3 October 29, 1999; Abstract (HTML) Full Report (PDF, 60 Pages) Recommendations (HTML)
Management Report: Opportunities for Improvements in FDIC's Internal Controls and Accounting Procedures.: GAO-07-942R June 27, 2007; Abstract (HTML) Full Report (PDF, 17 Pages) Accessible Text (HTML) Recommendations (HTML)
Management Report: Opportunities for Improvements in FDIC's Internal Controls and Accounting Procedures.: GAO-08-863R July 11, 2008; Abstract (HTML) Full Report (PDF, 11 Pages) Accessible Text (HTML) Recommendations (HTML)
Mutual Fund Trading Abuses: Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage.: GAO-05-313 April 20, 2005; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 52 Pages) Accessible Text (HTML) Recommendations (HTML)
On-Line Trading: Better Investor Protection Information Needed on Brokers' Web Sites.: GGD-00-43 May 9, 2000; Abstract (HTML) Full Report (PDF, 48 Pages) Recommendations (HTML)
Private Equity: Recent Growth in Leveraged Buyouts Exposed Risks That Warrant Continued Attention.: GAO-08-885 September 9, 2008; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 133 Pages) Accessible Text (HTML) Recommendations (HTML)
Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed.: GAO-09-483 May 12, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 114 Pages) Accessible Text (HTML) Recommendations (HTML)
Risk-Based Capital: New Basel II Rules Reduced Certain Competitive Concerns, but Bank Regulators Should Address Remaining Uncertainties.: GAO-08-953 September 12, 2008; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 74 Pages) Accessible Text (HTML) Recommendations (HTML)
Securities and Exchange Commission: Greater Attention Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement.: GAO-09-358 March 31, 2009; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 64 Pages) Accessible Text (HTML) Recommendations (HTML)
Securities and Exchange Commission: Opportunities Exist to Improve Oversight of Self-Regulatory Organizations.: GAO-08-33 November 15, 2007; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 73 Pages) Accessible Text (HTML) Recommendations (HTML)
Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent.: GAO-07-1053 August 14, 2007; Abstract (HTML) Highlights Page (PDF) Full Report (PDF, 43 Pages) Accessible Text (HTML) Recommendations (HTML)

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