United States, Securities and Exchange Commission
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United States, Securities and Exchange Commission
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The concept United States, Securities and Exchange Commission represents the subject, aboutness, idea or notion of resources found in University of Missouri-St. Louis Libraries.
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- William W. Werntz : his accounting thought
- Administrative law judges : comparison of SEC and CFTC programs : report to the ranking minority member, Subcommittee on Oversight and Investigations, Committee on Commerce, House of Representatives
- An Act to Amend the Securities Exchange Act of 1934 with Respect to the Extension of Unlisted Trading Privileges for Corporate Securities, and for Other Purposes
- An Act to Provide for the Continuation of Certain Fee Collections for the Expenses of the Securities and Exchange Commission for Fiscal Year 1995
- An introduction to the SEC
- And so--they indicted me! : a story of New Deal persecution
- Assessment of the SEC's privacy program
- Capital access : SEC Regulation A+ ("Mini-IPO")
- Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000
- Corporate financial reporting : public or private control?
- Corporate shareholder meetings : issues relating to firms that advise institutional investors on proxy voting : report to congressional requesters
- Day trading
- Democracy and finance ; : the addresses and public statements of William O. Douglas as member and chairman of the Securities and Exchange Commission
- Developing and Empowering our Aspiring Leaders Act of 2018 : report (to accompany H.R. 6177) (including cost estimate of the Congressional Budget Office)
- Developing and Empowering our Aspiring Leaders Act of 2018 : report (to accompany H.R. 6177) (including cost estimate of the Congressional Budget Office)
- Economic policy and the regulation of corporate securities
- Emergency Securities Response Act of 2003 : report (to accompany H.R. 657) (including cost estimate of the Congressional Budget Office)
- Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
- Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
- Equity market structure : a review of SEC regulation NMS : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, second session, February 28th, 2014
- Equity market structure : a review of SEC regulation NMS : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, second session, February 28th, 2014
- Evaluation of steps taken to address the problem of unpaid arbitration awards
- Executive furniture : financial regulatory agencies' procurement policies
- Financial market regulation : benefits and risks of merging SEC and CFTC : statement of James L. Bothwell, Director, Financial Institutions and Markets Issues, General Government Division, before the Subcommittee on Capital Markets, Securities and GSEs, House Committee on Banking and Financial Services, House of Representatives
- Financial services industry : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, second session, on H.R. 3054, H.R. 4441, and H.R. 5777, bills to provide for self-regulation and to improve the disclosure to customers of investment advisers, and to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, July 11, 1990 Financial Services Industry Oversight
- Get the facts : the SEC's roadmap to saving and investing
- Government Securities Reform Act of 1993 : report (to accompany H.R. 618) (including cost estimate of the Congressional Budget Office)
- How the SEC handles your complaint
- Initial public offerings : guidance needed on disclosure of underwriters' disciplinary histories : report to the chairman, Securities and Exchange Commission
- Invest wisely : advice from your securities industry regulators
- Invest wisely : an introduction to mutual funds
- Invest wisely : an introduction to mutual funds
- Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993
- Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992
- Investment adviser registration package
- Investor and Capital Markets Fee Relief Act
- Investor and Capital Markets Fee Relief Act : report together with dissenting views (to accompany H.R. 1088) (including cost estimate of the Congressional Budget Office)
- Investor and Capital Markets Fee Relief Act : report together with dissenting views (to accompany H.R. 1088) (including cost estimate of the Congressional Budget Office)
- Limited Partnership Rollup Reform Act of 1993, S. 424 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session, on S. 424, to amend the Securities Exchange Act of 1934 with respect to limited partnership rollups, April 20, 1993
- Liu v. SEC : the Supreme Court to consider whether disgorgement is an equitable remedy in SEC enforcement actions
- Lost security holders : reuniting security holders with their investments : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, October 4, 2000
- Lost security holders : reuniting security holders with their investments : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, October 4, 2000
- Management alert - Microsoft premier support services contract, report no. 469
- Market 2000 : an examination of current equity market developments
- Mutual fund industry : SEC's revised examination approach offers potential benefits, but significant oversight challenges remain : report to congressional requesters
- Mutual funds : SEC adjusted its oversight in response to rapid industry growth : report to congressional committees
- Mutual funds : additional disclosures could increase transparency of fees and other practices
- On-line trading : investor protections have improved but continued attention is needed : report to Congressional requesters
- Overview of the regulation of the bond markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on the regulation of the bond markets, focusing on fixed income market transparency, Trade Reporting and Compliance Engine (TRACE) enabling investors to access current price information for U.S. corporate bonds, and state, local, and Internal Revenue Service regulations of municipal issuers, June 17, 2004
- Presidents, parties, and the state : a party system perspective on Democratic regulatory choice, 1884-1936
- Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, second session, May 25, 2006
- Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, second session, May 3, 2006
- Providing for consideration of H.R. 1088, Investor and Capital Markets Fee Relief Act : report (to accompany H. Res. 161)
- Providing for consideration of H.R. 1088, Investor and Capital Markets Fee Relief Act : report (to accompany H. Res. 161)
- Public ownership of U.S. stock markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, first session on the benefits, challenges, and other issues involved with the transformation of U.S. stock markets into for-profit corporations, September 28, 1999
- Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, August 2, 2001
- Q&A, small business and the SEC : a discussion to help you understand capital formation and the federal securities laws
- Reforming credit rating agencies : the SEC's need for statutory authority : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, April 12, 2005
- Regulation NMS and developments in market structures : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on examination of regulation of the national market system and developments in market structure, focusing on proposals to modernize the national market system to improve the regulatory structure of U.S. equity markets, July 21 and 22, 2004
- Regulation by prosecution : the Securities and Exchange Commission vs. corporate America
- Report on the municipal securities market
- Review of current investigations and regulatory actions regarding the mutual fund industry : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first and second session, on investigations and regulatory actions regarding the mutual fund industry and investors' protection, November 18, 20, 2003, February 25, 26, March 2, 10, 23, 31, and April 8, 2004
- Review of the Commission's restacking project
- Review of the SEC's compliance with the Freedom of Information Act
- SEC : EDGAR information dissemination
- SEC accounting practice and procedure
- SEC climate change disclosure guidance : an overview and congressional concerns
- SEC independent leasing authority
- SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 14, 2009
- SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 14, 2009
- SEC securities disclosure : background and policy issues
- SEC sustainability plan
- SEC's crowdfunding proposal : will it work for small businesses? : hearing before the Subcommittee on Investigations, Oversight and Regulations of the Committee on Small Business, United States House of Representatives, One Hundred Thirteenth Congress, second session, hearing held January 16, 2014
- SEC's report provides useful information on mutual fund fees and recommends improved fee disclosure
- Saving investors money : reducing excessive SEC fees : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, March 7, 2001
- Saving investors money : reducing excessive SEC fees : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, March 7, 2001
- Saving investors money and strengthening the SEC : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, first session on the "Competitive Market Supervision Act" (S. 143) which seeks to reduce excess user fee collections made by the Securities and Exchange Commission (SEC), place SEC funding on a stable basis, and provide for parity of SEC salaries with federal bank regulators, February 14, 2001
- Securities and Exchange Commission (SEC) actions to mitigate the impact of COVID-19
- Securities and Exchange Commission : anti-manipulation rules concerning securities offerings
- Securities and Exchange Commission : cross-border tender and exchange offers, business combinations and rights offerings
- Securities and Exchange Commission : oversight of U.S. equities market clearing agencies
- Securities and Exchange Commission : privately offered investment companies
- Securities and Exchange Commission : regulation of takeovers and security holder communications
- Securities and Exchange Commission : revision of holding period requirements in rules 144 and 145
- Securities and Exchange Commission : rules implementing amendments to the Investment Advisers Act of 1940 (Rule 203A-2)
- Securities and Exchange Commission : strengthening the Commission's requirements regarding auditor independence
- Securities and Exchange Commission Overpayment Credit Act : report (to accompany H.R. 1975) (including cost estimate of the Congressional Budget Office)
- Securities enforcement : improvements needed in SEC controls over disgorgement cases : report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives
- Securities industry : SEC leadership needed to further automate securities transfers : report to the Chairman, Committee on Energy and Commerce, House of Representatives
- Securities investor protection : steps needed to better disclose SIPC policies to investors
- Securities regulation : SEC's oversight of privately placed transactions among large investors : report to congressional requesters
- Securities regulation : Securities and Exchange Commission oversight of self-regulation : report to the Chairman, Subcommittee on Telecommunications, Consumer Protections and Finance, Committee on Energy and Commerce, House of Representatives
- Securities regulation : factors that may affect trends in Regulation A offerings : report to congressional committees
- Securities regulation and the New Deal
- Securities, exchanges, and the SEC
- Selling America short : the SEC and market contrarians in the age of absurdity
- Small Business Incentive Act of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate to accompany S. 479
- Stock markets : information vendors need SEC oversight to control automation risks : report to the Chairman, Securities and Exchange Commission
- The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266
- The New Deal's SEC : the formative years
- The SEC and capital market regulation : the politics of expertise
- The SEC and capital market regulation : the politics of expertise
- The SEC and the future of finance
- The SEC and the issue of runaway executive pay : hearing before the Subcommittee on Oversight of Government Management of the Committee on Governmental Affairs, United States Senate, One Hundred Second Congress, first session, May 15, 1991
- The SEC's best interest proposal for advice given by broker-dealers
- The SEC's proposed auditor independence rules : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the proposal by the Securities and Exchange Commission (SEC) to promulgate regulations that would restrict the types of nonaudit services that accountants may provide to their audit clients, Thursday, September 28, 2000
- The SECs [i.e. SEC's] role in capital formation : help or hindrance? : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, June 26, 2001
- The Small Business Incentive Act of 1992 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session ... March 26, 1992
- The investor and the Securities act
- The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004
- The state of the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, first session, on the examination of the state of the securities industry, focusing on recent initiatives regarding market structure, credit rating agencies, mutual funds, and the implementation of the Sarbanes-Oxley requirements, March 9, 2005
- The watchdogs of Wall Street
- Trading suspensions! : when the SEC suspends trading in a stock
- Turmoil in U.S. credit markets : examining the recent actions of federal financial regulators : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session ... Thursday, April 3, 2008
- Turmoil in U.S. credit markets : examining the recent actions of federal financial regulators : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on examining the recent actions of federal financial regulators, Thursday, April 3, 2008
- Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session ... Wednesday, May 7, 2008
- Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on steps taken by the agency then and now to encourage the investment banks that it regulates to better manage their risks and how the SEC can be strengthened to meet its mission as the advocate for investors while overseeing securities markets and financial stability of Wall Street firms, Wednesday, May 7, 2008
- U.S. Securities and Exchange Commission : building project management and related budget planning
- Unlisted Trading Privileges Act of 1994 : report (to accompany H.R. 4535) (including cost estimate of the Congressional Budget Office)
- Wayward capitalists : target of the Securities and Exchange Commission
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.umsl.edu/resource/BKyRho34hlA/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.umsl.edu/resource/BKyRho34hlA/">United States, Securities and Exchange Commission</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.umsl.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.umsl.edu/">University of Missouri-St. Louis Libraries</a></span></span></span></span></div>
