Oversight of the SEC's Division of Trading and Markets
Oversight of the SEC's Division of Trading and Markets

Author: United States. Congress

Publisher: Createspace Independent Publishing Platform

Published: 2017-12-10

Total Pages: 64

ISBN-13: 9781981566709

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Oversight of the SEC's Division of Trading and Markets : 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, June 26, 2014.

SEC's Oversight of Bear Sterns and Related Entities
SEC's Oversight of Bear Sterns and Related Entities

Author: H. David Kotz

Publisher: DIANE Publishing

Published: 2010-03

Total Pages: 46

ISBN-13: 1437921809

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Details the results of the SEC audit on the Div. of Trading and Market's (TM) Broker-Dealer Risk Assessment program. The purpose of this program is for staff in the TM to assess the risks to registered broker-dealers that may stem from affiliated entities, including holding co. TM tracks the filing status of the 146 broker-dealers that file 17(h) documents with the SEC, but only reviews in detail the filings from six prominent firms because they have a significant number of customer accounts and they are deemed to be material firms. This audit evaluated the SEC¿s CSE program, emphasizing the SEC¿s oversight of Bear Stearns and determined whether improvements are needed in the SEC¿s monitoring of CSE firms and its admin. of the CSE program. Illus.

SEC Compliance and Enforcement Answer Book 2015
SEC Compliance and Enforcement Answer Book 2015

Author: David M. Stuart

Publisher:

Published: 2015-08-07

Total Pages: 0

ISBN-13: 9781402424717

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SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.