Management Report: Improvements Needed in SEC's Internal Controls and Accounting Procedures

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Correspondence issued by the Government Accountability Office with an abstract that begins "On November 15, 2010, we issued our opinion on the U. S. Securities and Exchange Commission's (SEC) fiscal years 2010 and 2009 financial statements. We also issued our opinion on the effectiveness of SEC's internal controls over financial reporting as of September 30, 2010, and our evaluation of SEC's compliance with selected provisions of laws and regulations during fiscal year 2010. In that report we identified material weaknesses in SEC's controls. The purpose of this report is to present (1) more detailed information and our recommendations related to ... continued below

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United States. Government Accountability Office. March 29, 2011.

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Description

Correspondence issued by the Government Accountability Office with an abstract that begins "On November 15, 2010, we issued our opinion on the U. S. Securities and Exchange Commission's (SEC) fiscal years 2010 and 2009 financial statements. We also issued our opinion on the effectiveness of SEC's internal controls over financial reporting as of September 30, 2010, and our evaluation of SEC's compliance with selected provisions of laws and regulations during fiscal year 2010. In that report we identified material weaknesses in SEC's controls. The purpose of this report is to present (1) more detailed information and our recommendations related to the material weaknesses we reported and discussed in our opinion report; (2) less significant internal control issues we identified during our fiscal year 2010 audit of SEC's internal controls and accounting procedures, along with our related recommended corrective actions; (3) summary information on the status of the recommendations reported as open in our March 31, 2010, management report, and (4) the status of the security weaknesses in information systems controls at SEC that we identified in public and "Limited Official Use Only" reports issued in 2005 through 2009, that were unresolved at the time of our March 31, 2010, management report."

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Government Accountability Office Reports

The U.S. Government Accountability Office (GAO) is an independent, nonpartisan agency that works for the U.S. Congress investigating how the federal government spends taxpayers' money. Its goal is to increase accountability and improve the performance of the federal government. The Government Accountability Office Reports Collection consists of over 13,000 documents on a variety of topics ranging from fiscal issues to international affairs.

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  • March 29, 2011

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  • June 12, 2014, 7:50 p.m.

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United States. Government Accountability Office. Management Report: Improvements Needed in SEC's Internal Controls and Accounting Procedures, text, March 29, 2011; Washington D.C.. (digital.library.unt.edu/ark:/67531/metadc299248/: accessed February 20, 2019), University of North Texas Libraries, Digital Library, digital.library.unt.edu; crediting UNT Libraries Government Documents Department.