Securities industry -- Government policy -- United States
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The concept Securities industry -- Government policy -- United States represents the subject, aboutness, idea or notion of resources found in Biddle Law Library - University of Pennsylvania Law School.
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Securities industry -- Government policy -- United States
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The concept Securities industry -- Government policy -- United States represents the subject, aboutness, idea or notion of resources found in Biddle Law Library - University of Pennsylvania Law School.
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- Securities industry -- Government policy -- United States
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- Continued oversight of the SEC's offices and divisions : 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, second session, April 21, 2016
- Financial modernization : hearings before the Committee on Banking and Financial Services, House of Representatives, One Hundred Fifth Congress, first session
- Financial services reform : hearings before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, first session, May 1, 1997 --"A two way street" and functional reform; May 14, 1997 --Consolidation in the brokerage industry; June 24, 1997 --Insurance regulation
- Financial services reform : hearings before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, first session, May 1, 1997--"A two way street" and functional reform; May 14, 1997--Consolidation in the brokerage industry; June 24, 1997--Insurance regulation
- Industry perspectives on the Obama administration's financial regulatory reform proposals : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 17, 2009
- Management and structural reforms at the Securities and Exchange Commission : a progress report : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... November 16, 2011
- Market Reform Act of 1990 : Public Law 101-432, 104 Stat. 963, October 16, 1990
- Money laundering : oversight of suspicious activity reporting at bank-affiliated broker-dealers
- Oversight 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
- Oversight of the SEC's Division of Enforcement : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, May 16, 2018
- Oversight of the SEC's agenda, operations, and FY 2014 budget request : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 16, 2013
- Oversight of the SEC's agenda, operations, and FY 2015 budget request : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, second session, April 29, 2014
- Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Banking, Housing and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, second session, on examining the work and agenda of the U.S. Securities Exchange Commission, June 14, 2016
- Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifteenth Congress, first session, on receiving testimony from the Chairman of the Securities and Exchange Commission regarding the agency's work and agenda, September 26, 2017
- Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifteenth Congress, second session, on examining the work and agenda of the U.S. Securities and Exchange Commission, December 11, 2018
- Oversight of the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, April 25, 2012
- Reform to prevent violations in the marketing of government securities, including findings and recommendations of the subcommittee : oversight initiative report from the Subcommittee on Oversight
- Regulatory perspectives on the Obama administration's financial regulatory reform proposals : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session
- Regulatory reforms to improve equity market structure : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, second session, on examining recent efforts by the SEC and FINRA in aiding the functioning and stability of the equity markets, and identifying key issues under consideration to reduce market complexity, increase operational stability, and promote efficiency, competition, and capital formation, March 3, 2016
- Securities and Exchange Commission Authorization Act of 1990 : P.L. 101-550, 104 Stat 2713, November 15, 1990
- Short-termism in financial markets : hearing before the Subcommittee on Economic Policy of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, second session ... April 29, 2010
- Short-termism in financial markets : hearing before the Subcommittee on Economic Policy of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, second session, on examining short-termism in financial markets, April 29, 2010
- The financial crisis and the role of federal regulators : hearing before the Committee on Oversight and Government Reform, House of Representatives, One Hundred Tenth Congress, second session, October 23, 2008
- U.S. equity market structure : a review of the evolution of today's equity market structure and how we got here : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, June 27, 2017
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.law.upenn.edu/resource/_zX9GZ1vrlU/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.law.upenn.edu/resource/_zX9GZ1vrlU/">Securities industry -- Government policy -- United States</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.law.upenn.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.law.upenn.edu/">Biddle Law Library - University of Pennsylvania Law School</a></span></span></span></span></div>
