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Open Recommendations

USDA Market Facilitation Program: Stronger Adherence to Quality Guidelines Would Improve Future Economic Analyses

GAO-22-468
Dec 20, 2021
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2 Open Recommendations
Agency Affected Recommendation Status
Department of Agriculture The Secretary of Agriculture should ensure that the Office of the Chief Economist revises its internal review process to help ensure that USDA internal reviews of future economic analyses address the transparency of its documentation of the analyses. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Agriculture The Secretary of Agriculture should ensure that the Office of the Chief Economist revises its internal review process to help ensure that USDA internal reviews assess whether future economic analyses use representative baselines. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Securities Regulation: SEC Could Take Further Actions to Help Achieve Its FINRA Oversight Goals

GAO-22-105367
Dec 15, 2021
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3 Open Recommendations
Agency Affected Recommendation Status
United States Securities and Exchange Commission The Director of the Division of Examinations should develop FSIO performance measures that reflect leading practices, including measuring progress in achieving FSIO's mission, setting targets against which actual performance can be measured, incorporating key elements of FSIO's oversight activities, and providing information on the outcomes of FSIO program activities related to its stated mission goals and objectives. (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 Director of the Division of Examinations should develop and implement FSIO policies and procedures for tracking identified deficiencies and associated FINRA corrective actions, including establishing when and how to monitor findings and FINRA's implementation of corrective measures. (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 Director of the Division of Examinations should develop and implement FSIO procedures to identify and communicate the significance of its inspection and examination findings. (Recommendation 3)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Countering Illicit Finance and Trade: Better Information Sharing and Collaboration Needed to Combat Trade-Based Money Laundering

GAO-22-447
Dec 13, 2021
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2 Open Recommendations
Agency Affected Recommendation Status
Department of the Treasury The Secretary of the Treasury, in collaboration with partner agencies, should establish an interagency collaboration mechanism to promote greater information sharing and data analysis between federal agencies and with relevant private-sector entities on issues related to trade-based money laundering and other illicit trade schemes. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Homeland Security The Secretary of Homeland Security should ensure the Director of Immigration and Customs Enforcement takes steps to enable and implement sharing of the Trade Transparency Unit's trade data—including for the purposes of trade data analysis about patterns or trends of illicit activity related to trade-based money laundering and similar schemes—with U.S agencies with roles and responsibilities related to enforcing trade laws and combating illicit financial activity, as appropriate. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Bankruptcy: Enhanced Authority Could Strengthen Oversight of Executive Bonuses Awarded Before a Bankruptcy Filing

GAO-21-104617
Sep 30, 2021
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1 Open Recommendations
Agency Affected Recommendation Status
Congress Congress should consider amending the U.S. Bankruptcy Code to clearly subject bonuses debtors pay executives shortly before a bankruptcy filing to bankruptcy court oversight and to specify factors courts should consider to approve such bonuses. (Matter for Consideration 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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