United States, Securities and Exchange Commission -- Rules and practice -- Evaluation
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United States, Securities and Exchange Commission -- Rules and practice -- Evaluation
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The concept United States, Securities and Exchange Commission -- Rules and practice -- Evaluation represents the subject, aboutness, idea or notion of resources found in Biddle Law Library- University of Pennsylvania Law School.
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20 Items that share the Concept United States, Securities and Exchange Commission -- Rules and practice -- Evaluation
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- Securities markets : opportunities exist to enhance investor confidence and improve listing program oversight : report to congressional requesters
- Environmental disclosure : SEC should explore ways to improve tracking and transparency of information : report to congressional requesters
- Environmental disclosure : SEC should explore ways to improve tracking and transparency of information : report to congressional requesters
- Financial market preparedness : improvements made, but more action needed to prepare for wide-scale disasters : report to the Committee on Energy and Commerce, House of Representatives
- Financial oversight of Enron : the SEC and private-sector watchdogs : report
- Financial oversight of Enron : the SEC and private-sector watchdogs : report
- Mutual fund trading abuses : SEC consistently applied procedures in setting penalties, but could strengthen certain internal controls : report to congressional requesters
- Mutual fund trading abuses : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005
- Mutual funds : SEC should modify proposed regulations to address some pension plan concerns : report to the Subcommittee on Oversight, Committee on Ways and Means, House of Representatives
- Mutual funds : assessment of regulatory reforms to improve the management and sale of mutual funds
- Public Utility Holding Company Act : opportunities exist to strengthen SEC's administration of the act : report to the Ranking Minority Member, Committee on Energy and Commerce, and the Honorable Edward J. Markey, House of Representatives
- Review of investor protection and market oversight with the five commissioners of the Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, first session, June 26, 2007
- SEC and CFTC : most fines collected, but improvements needed in the use of Treasury's collection service
- SEC enforcement : more actions needed to improve oversight of disgorgement collections
- SEC mutual fund oversight : positive actions are being taken, but regulatory challenges remain : testimony before the Subcommittee on Commercial and Administrative Law, Committee on the Judiciary, House of Representatives
- SEC operations : oversight of mutual fund industry presents management challenges
- Securities and Exchange Commission : acceleration of periodic report filing dates and disclosure concerning web site access to reports
- Securities and Exchange Commission : certification of disclosure in companies' quarterly and annual reports
- Securities and Exchange Commission : disclosure in management's discussion and analysis about off-balance sheet arrangements and aggregate contractual obligations
- Securities and Exchange Commission : disclosure of proxy voting policies and proxy voting records by registered management investment companies
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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/lRn48tsikCc/" 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/lRn48tsikCc/">United States, Securities and Exchange Commission -- Rules and practice -- Evaluation</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>
