Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and InvestmentPublisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 96
Book Description
Strengthening the SEC's Vital Enforcement Responsibilities
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and InvestmentPublisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 96
Book Description
Strengthening the SEC's Vital Enforcement Responsibilities
Author: Robert KhuzamiPublisher: DIANE Publishing
ISBN: 143793367X
Category : Business & Economics
Languages : en
Pages : 20
Book Description
Contents: (1) The extent to which the resource shortages and enforcement policies of the SEC in recent years have hampered aggressive enforcement of securities laws; (2) What changes are needed to ensure that the SEC does not once again fall behind on its enforcement responsibilities; and (3) What changes Congress should consider to ensure adequate resources and authority for the SEC to fulfill its vital enforcement role. Khuzami outlines SEC¿s plan for addressing the challenges that we face. He also discusses some of the changes that SEC Chairman Mary Schapiro has instituted that have already helped SEC¿s program. Additional resources would enhance SEC¿s ability to keep pace with ever-changing developments in a dynamic marketplace.
Examining Proposals to Enhance the Regulation of Credit Rating Agencies
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban AffairsPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 140
Book Description
Regulation of Money Managers
Author: Tamar FrankelPublisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Report on the Activities of the Committee on Banking, Housing, and Urban Affairs of the United States Senate During the ... Congress Pursuant to Rule XXVI of the Standing Rules of the United States Senate
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban AffairsPublisher:
ISBN:
Category :
Languages : en
Pages : 56
Book Description
Legislative Calendar
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban AffairsPublisher:
ISBN:
Category : Banking law
Languages : en
Pages : 212
Book Description
Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Financial Services and General Government Appropriations for 2014
Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General GovernmentPublisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 866
Book Description
Financial Services and General Government Appropriations for 2016
Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General GovernmentPublisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 1020
Book Description
Financial Services and General Government Appropriations for 2016: Department of the Treasury FY 2016 budget justifications
Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General GovernmentPublisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 1018
Book Description
