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Evaluates issues relating to the arbitration process in the securities industry. It discusses: (1) whether arbitration forums had implemented recommendations made in the 1992 GAO report, Securities Arbitration: How Investors Fare, & assessed the effectiveness of the changes; (2) how investors fared in securities arbitration award decisions; & (3) the extent to which investors were paid the amounts awarded by arbitration panels. The report includes recommendations to the Chairman, U.S. Securities & Exchange Commission, regarding regulatory actions to address the problem of unpaid arbitration awards. Charts & tables.
Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.
Contains an overview discussion of the Freedom of Information Act's (FOIA) exemptions, its law enforcement record exclusions, and its most important procedural aspects. 2009 edition. Issued biennially. Other related products: Report of the Commission on Protecting and Reducing Government Secrecy, Pursuant to Public Law 236, 103d Congress can be found here: https: //bookstore.gpo.gov/products/sku/052-071-01228-1 Overview of the Privacy Act of 1974, 2015 Edition can be found here: https: //bookstore.gpo.gov/products/sku/027-000-01429-1