Recommendations Database

Jump To:

As of January 30, 2023, there are 4847 open recommendations that still need to be addressed. 473 of these are priority recommendations, those that we believe warrant priority attention. Learn more about our priority designation on our Recommendations page.

Search for open recommendations by agency, topic, subject, or keyword/phrase below, or view all open recommendations by agency.

Skip to main search results
Clear All Filters
1 - 6 of 6 Recommendations, including 0 Priority Recommendations

Securities and Exchange Commission: Employee Views of Personnel Management Improved, but Action Needed on Measuring Diversity and Inclusion Goals

Show
1 Open Recommendations
Agency Recommendation Status
United States Securities and Exchange Commission The Director of SEC's Office of Minority and Women Inclusion should ensure that performance measures for SEC's diversity and inclusion strategic plan for fiscal years 2023–2026 align with the plan's goals and are clear, measurable, objective, and reliable. (Recommendation 1)
Open

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Securities and Exchange Commission: Additional Guidance Needed for Assessing Staff Procedures

Show
3 Open Recommendations
Agency Recommendation Status
United States Securities and Exchange Commission The Director of the Division of Enforcement should ensure that the division's memorandum regarding certification under section 961 of the Dodd-Frank Act include a summary of the work performed for and results of the assessment of the effectiveness of staff procedures. (Recommendation 1)
Open

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

United States Securities and Exchange Commission The 961 Working Group should revise its Reference Guide for Compliance with Section 961 of the Dodd-Frank Act to include guidance on using program data to help assess the effectiveness of staff procedures. (Recommendation 2)
Open

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

United States Securities and Exchange Commission The 961 Working Group should revise its Reference Guide for Compliance with Section 961 of the Dodd-Frank Act to require the relevant divisions and office to include in their written plans for assessing the effectiveness of staff procedures a requirement that they review their program manuals on a periodic and comprehensive basis. (Recommendation 3)
Open

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Federal Personal Property: Better Internal Guidance and More Action from GSA Are Needed to Help Agencies Maximize Use of Excess

Show
1 Open Recommendations
Agency Recommendation Status
United States Securities and Exchange Commission The Chair of the Securities and Exchange Commission should ensure that internal guidance on considering excess personal incorporates, at a minimum, the requirement to consider excess property, relevant roles and responsibilities, when it is practicable to check for and obtain excess property, and how to evaluate the suitability of excess property for meeting agency needs. (Recommendation 4)
Open

The Securities and Exchange Commission (SEC) concurred with this recommendation and said it would take steps to implement it. In August 2022, SEC said it would revise its internal guidance documents to incorporate the four essential regulatory elements GAO identified for ensuring excess property is considered. SEC said it plans to finalize these revisions by June 28, 2023. GAO will continue to monitor SEC's efforts to address this recommendation.

Financial Services Regulations: Procedures for Reviews under Regulatory Flexibility Act Need to Be Enhanced

Show
1 Open Recommendations
Agency Recommendation Status
United States Securities and Exchange Commission SEC should publicly disclose its section 610 reviews, or summaries of the reviews, with the basis for any conclusions. Such disclosure could include publishing results in the Federal Register or on the agency's website. (Recommendation 10)
Open

In March 2019, SEC staff provided us with supplemental policies and procedures it developed for compliance with the Regulatory Flexibility Act (RFA), including section 610 reviews. The procedures require staff to publish on SEC's website a notice that section 610 reviews have been completed and, if the agency plans any further actions, a published RFA agenda would so indicate. Although these notices communicate with interested entities about the status of ongoing as well as completed section 610 reviews, they will not include any details about the basis for SEC's conclusions during the review

Have a Question about a Recommendation?

For questions about a specific recommendation, contact the person or office listed with the recommendation. For general information about recommendations, contact GAO's Audit Policy and Quality Assurance office at (202) 512-6100 or apqa@gao.gov.