SEC's Oversight of Bear Stearns and Related Entities
Author: United States. Securities and Exchange Commission. Office of Audits
Publisher:
Published: 2008
Total Pages: 121
ISBN-13:
DOWNLOAD EBOOKRead and Download eBook Full
Author: United States. Securities and Exchange Commission. Office of Audits
Publisher:
Published: 2008
Total Pages: 121
ISBN-13:
DOWNLOAD EBOOKAuthor: H. David Kotz
Publisher: DIANE Publishing
Published: 2010-03
Total Pages: 46
ISBN-13: 1437921809
DOWNLOAD EBOOKDetails 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.
Author: CreateSpace Independent Publishing Platform
Publisher: Createspace Independent Publishing Platform
Published: 2018-07-09
Total Pages: 138
ISBN-13: 9781722633929
DOWNLOAD EBOOKSEC's oversight of Bear Stearns and related entities. The Consolidated Supervised Entity Program.
Author: United States. Securities and Exchange Commission. Office of Audits
Publisher:
Published: 2008
Total Pages: 36
ISBN-13:
DOWNLOAD EBOOKAuthor: CreateSpace Independent Publishing Platform
Publisher: Createspace Independent Publishing Platform
Published: 2018-07-09
Total Pages: 46
ISBN-13: 9781722633660
DOWNLOAD EBOOKSEC's oversight of Bear Stearns and related entities. Broker-Dealer Risk Assessment Program.
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher:
Published: 2010
Total Pages: 64
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher:
Published: 2009
Total Pages: 184
ISBN-13:
DOWNLOAD EBOOKAuthor: Financial Crisis Inquiry Commission
Publisher: Cosimo, Inc.
Published: 2011-05-01
Total Pages: 692
ISBN-13: 1616405414
DOWNLOAD EBOOKThe Financial Crisis Inquiry Report, published by the U.S. Government and the Financial Crisis Inquiry Commission in early 2011, is the official government report on the United States financial collapse and the review of major financial institutions that bankrupted and failed, or would have without help from the government. The commission and the report were implemented after Congress passed an act in 2009 to review and prevent fraudulent activity. The report details, among other things, the periods before, during, and after the crisis, what led up to it, and analyses of subprime mortgage lending, credit expansion and banking policies, the collapse of companies like Fannie Mae and Freddie Mac, and the federal bailouts of Lehman and AIG. It also discusses the aftermath of the fallout and our current state. This report should be of interest to anyone concerned about the financial situation in the U.S. and around the world.THE FINANCIAL CRISIS INQUIRY COMMISSION is an independent, bi-partisan, government-appointed panel of 10 people that was created to "examine the causes, domestic and global, of the current financial and economic crisis in the United States." It was established as part of the Fraud Enforcement and Recovery Act of 2009. The commission consisted of private citizens with expertise in economics and finance, banking, housing, market regulation, and consumer protection. They examined and reported on "the collapse of major financial institutions that failed or would have failed if not for exceptional assistance from the government."News Dissector DANNY SCHECHTER is a journalist, blogger and filmmaker. He has been reporting on economic crises since the 1980's when he was with ABC News. His film In Debt We Trust warned of the economic meltdown in 2006. He has since written three books on the subject including Plunder: Investigating Our Economic Calamity (Cosimo Books, 2008), and The Crime Of Our Time: Why Wall Street Is Not Too Big to Jail (Disinfo Books, 2011), a companion to his latest film Plunder The Crime Of Our Time. He can be reached online at www.newsdissector.com.
Author: United States. Congress. Senate. Committee on Governmental Affairs
Publisher:
Published: 2002
Total Pages: 126
ISBN-13:
DOWNLOAD EBOOKAuthor: Patrick S. Collins
Publisher: John Wiley & Sons
Published: 2011-01-14
Total Pages: 384
ISBN-13: 1118008561
DOWNLOAD EBOOKThe ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.