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Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Stock exchanges
Languages : en
Pages : 172
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Book Description
Considers problems related to SEC jurisdiction and regulatory procedures with respect to corporation proxy solicitations.
Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Stock exchanges
Languages : en
Pages : 176
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Book Description
Considers problems related to SEC jurisdiction and regulatory procedures with respect to corporation proxy solicitations.
Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
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Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Author: United States. Congress. Senate. Committee on Banking and Currency
Publisher:
ISBN:
Category : Governmental investigations
Languages : en
Pages : 106
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Book Description
Author: United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 684
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Book Description
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Securities fraud
Languages : en
Pages : 60
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Book Description
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 94
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Book Description
Author: Robert Khuzami
Publisher: DIANE Publishing
ISBN: 143793367X
Category : Business & Economics
Languages : en
Pages : 20
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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.
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Securities fraud
Languages : en
Pages : 32
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Book Description
Author: United States. Government Accountability Office
Publisher: DIANE Publishing
ISBN: 9781422397794
Category :
Languages : en
Pages : 42
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 574
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Book Description
