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Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment
Publisher:
Published: 2018
Total Pages: 58
ISBN-13:
DOWNLOAD EBOOKAuthor: Mary L. Schapiro
Publisher: DIANE Publishing
Published: 2010-11
Total Pages: 20
ISBN-13: 1437936822
DOWNLOAD EBOOKIn 2009, the country was just emerging from an economic crisis that threatened our financial system and the American economy. Since then, the SEC has taken significant steps to make the SEC more vigilant, sharp, and responsive, and focus the agency on its core mission of protecting investors, maintaining fair and orderly markets, and facilitating capital formation. This testimony provides an overview of the actions and initiatives the SEC is taking to better protect investors, improve markets, and facilitate capital formation. It details the changes in personnel, processes and technology that have been made at the Commission. It also discusses the status of the SEC inquiry into the severe market disruption on May 6, 2010. Illustrations.
Author: United States. General Accounting Office
Publisher:
Published: 1985
Total Pages: 60
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. General Accounting Office
Publisher:
Published: 1994
Total Pages: 32
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
Published: 2015
Total Pages: 64
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress
Publisher: Createspace Independent Publishing Platform
Published: 2017-09-20
Total Pages: 62
ISBN-13: 9781976511769
DOWNLOAD EBOOKOversight of the SEC's Division of Enforcement : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, Marc 19, 2015.
Author: United States. Securities and Exchange Commission. Division of Enforcement
Publisher:
Published: 2008
Total Pages: 144
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
Published: 1957
Total Pages: 176
ISBN-13:
DOWNLOAD EBOOKConsiders problems related to SEC jurisdiction and regulatory procedures with respect to corporation proxy solicitations.
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1979
Total Pages: 688
ISBN-13:
DOWNLOAD EBOOKAuthor: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
Published: 2017-09-15
Total Pages: 54
ISBN-13: 9781976393471
DOWNLOAD EBOOKThe Securities and ExchangeCommission's (SEC) Division ofEnforcement (Enforcement) playsa key role in meeting the agency'sresponsibility to enforce securitieslaws and regulations. WhileEnforcement has brought a numberof high-profile cases, questionshave been raised over howeffectively the division manages itsoperations and resources. Forexample, GAO has previouslyreported on challengesEnforcement faces in managing itsinvestigation information systemsand overseeing the Fair Fundprogram. Under this program,funds are distributed to investorswho have suffered losses resultingfrom securities fraud and otherviolations.GAO was asked to evaluateEnforcement's (1) investigationplanning and information systems,and (2) oversight of the Fair Fundprogram.Among other things, GAO analyzedSEC and Enforcement documentsand data and interviewed agencyofficials as well as consultantsinvolved in administering the FairFund program.
