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 Biddle Law Library.
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United States, Securities and Exchange Commission -- Rules and practice
Resource Information
The concept United States, Securities and Exchange Commission -- Rules and practice represents the subject, aboutness, idea or notion of resources found in Biddle Law Library.
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- United States, Securities and Exchange Commission -- Rules and practice
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- Securities and Exchange Commission
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- Securities and Exchange Commission
35 Items that share the Concept United States, Securities and Exchange Commission -- Rules and practice
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Context of United States, Securities and Exchange Commission -- Rules and practiceSubject of
- 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
- Defending corporations and individuals in government investigations.
- Examining enforcement of criminal insider trading and hedge fund activity : hearing before the Committee on the Judiciary, United States Senate, One Hundred Ninth Congress, second session, Tuesday, December 5, 2006
- Executive compensation and related-party disclosure : SEC rules and explanation
- 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
- Federal securities law reporter - report letter
- 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 fund equity investing : U.S. legal issues
- 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
- 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
- RBS filings
- Regulation SHO : recent actions appear to have initially reduced failures to deliver, but more industry guidance is needed : report to congressional requesters
- Rules of practice : and Rules relating to investigations and Code of behavior governing ex parte communications between persons outside the commission and decisional employees, as in effect August 1968
- SEC and CFTC penalities : continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters
- SEC compliance and disclosure interpretations
- SEC enforcement actions
- SEC no-action letter weekly (current)
- 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
- SEC releases and other material
- SEC staff accounting bulletins
- SEC staff comment letters (2005 - 2007)
- SEC staff legal bulletins
- Sarbanes-Oxley Act : consideration of key principles needed in addressing implementation for smaller public companies : report to the Committee on Small Business and Entrepreneurship, U.S. Senate
- Securities Act of 1933 forms
- Securities and Exchange Commission : action needed to improve rating agency registration program and performance-related disclosures : report to congressional committees
- 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 enforcement : counseling and defense
- 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 revised auditor independence rules : what happened, why, and what does it mean?
- The SEC's role regarding and oversight of nationally recognized statistical rating organizations (NRSROs)
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