United States, Securities and Exchange Commission -- Rules and practice
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United States, Securities and Exchange Commission -- Rules and practice
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The concept United States, Securities and Exchange Commission -- Rules and practice represents the subject, aboutness, idea or notion of resources found in University of Missouri-St. Louis Libraries.
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- United States, Securities and Exchange Commission -- Rules and practice
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31 Items that share the Concept United States, Securities and Exchange Commission -- Rules and practice
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- A review of current securities issues : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on examination of current securities issues, focusing on improving financial disclosure for individual investors, April 25, 2006
- Assessing the Madoff Ponzi scheme and regulatory failures : 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, February 4, 2009
- Defined contribution plans : key information on target date funds as default investments should be provided to plan sponsors and participants : report to congressional requesters
- Effects of repealing Fannie Mae's and Freddie Mac's SEC exemptions
- Federal rulemaking : improvements needed to monitoring and evaluation of rules development as well as to the transparency of OMB regulatory reviews : report to the Chairman, Committee on Oversight and Government Reform, House of Representatives
- Financial regulation : clearer goals and reporting requirements could enhance efforts by CFTC and SEC to harmonize their regulatory approaches : report to congressional committees
- Full committee hearing on Sarbanes-Oxley section 404 : will the SEC's and PCAOB's new standards lower compliance costs for small companies?
- Hedge funds : overview of regulatory oversight, counterparty risks, and investment challenges : testimony before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, House of Representatives
- Hedge funds : regulators and market participants are taking steps to strengthen market discipline, but continued attention is needed : report to congressional requesters
- Influenza pandemic : key securities market participants are making progress, but agencies could do more to address potential internet congestion and encourage readiness : report to congressional requesters
- Investigating and prosecuting financial fraud after the Fraud Enforcement and Recovery Act : hearing before the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second session, September 22, 2010
- Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi scheme
- It's only FAIR : returning money to defrauded investors : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, February 26, 2003
- Municipal securities : overview of market structure, pricing, and regulation : report to congressional committees
- Mutual fund proxy voting records and policies
- Regulation SHO : recent actions appear to have initially reduced failures to deliver, but more industry guidance is needed : report to congressional requesters
- SEC and CFTC penalities : continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters
- SEC proxy access proposals : implications for investors : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, first session, September 27, 2007
- Securities Exchange Act : review of reporting under Section 10A
- Securities Investor Protection Corporation (SIPC : basic functions and fairness and adequacy issues
- Securities and Exchange Commission : action needed to improve rating agency registration program and performance-related disclosures : report to congressional committees
- Securities and Exchange Commission : disclosure of accounting policies for derivative financial instruments and derivative commodity instruments
- Securities and Exchange Commission : information on Fair Fund collections and distributions
- Securities and Exchange Commission : management's report on internal control over financial reporting and certification of disclosure in Exchange Act periodic reports
- Securities and Exchange Commission : opportunities exist to improve oversight of self-regulatory organizations : report to the Ranking Member, Committee on Finance, U.S. Senate
- Securities and Exchange Commission : reporting requirements for brokers or dealers under the Securities Exchange Act of 1934
- Securities and Exchange Commission rule 151A and annuities : issues and legislation
- Securities pricing : actions needed for conversion to decimals : statement of Thomas J. McCool, Director, Financial Institutions and Markets Issues, General Government Division, before the Subcommittee on Finance and Hazardous Materials, Committee on Commerce, House of Representatives
- Securities regulation : opportunities exist to improve SEC's oversight of the Financial Industry Regulatory Authority : report to congressional committees
- The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
- The SEC's role regarding and oversight of nationally recognized statistical rating organizations (NRSROs)
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