Author: United States. Congress. Senate. Committee on Governmental Affairs
Publisher:
ISBN:
Category : Credit ratings
Languages : en
Pages : 110
Book Description
Financial Oversight of Enron
Author: United States. Congress. Senate. Committee on Governmental Affairs
Publisher:
ISBN:
Category : Credit ratings
Languages : en
Pages : 110
Book Description
Publisher:
ISBN:
Category : Credit ratings
Languages : en
Pages : 110
Book Description
SEC and Corporate Audits
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : Auditors
Languages : en
Pages : 512
Book Description
Publisher:
ISBN:
Category : Auditors
Languages : en
Pages : 512
Book Description
SEC Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 272
Book Description
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 272
Book Description
SEC Oversight and Technical Amendments
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 390
Book Description
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 390
Book Description
Oversight of the U. S. Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges
Author: Mary L. Schapiro
Publisher: DIANE Publishing
ISBN: 1437936822
Category : Political Science
Languages : en
Pages : 20
Book Description
In 2009, the country was just emerging from an economic crisis that threatened our financial system and the American economy. Since then, the SEC has taken significant steps to make the SEC more vigilant, sharp, and responsive, and focus the agency on its core mission of protecting investors, maintaining fair and orderly markets, and facilitating capital formation. This testimony provides an overview of the actions and initiatives the SEC is taking to better protect investors, improve markets, and facilitate capital formation. It details the changes in personnel, processes and technology that have been made at the Commission. It also discusses the status of the SEC inquiry into the severe market disruption on May 6, 2010. Illustrations.
Publisher: DIANE Publishing
ISBN: 1437936822
Category : Political Science
Languages : en
Pages : 20
Book Description
In 2009, the country was just emerging from an economic crisis that threatened our financial system and the American economy. Since then, the SEC has taken significant steps to make the SEC more vigilant, sharp, and responsive, and focus the agency on its core mission of protecting investors, maintaining fair and orderly markets, and facilitating capital formation. This testimony provides an overview of the actions and initiatives the SEC is taking to better protect investors, improve markets, and facilitate capital formation. It details the changes in personnel, processes and technology that have been made at the Commission. It also discusses the status of the SEC inquiry into the severe market disruption on May 6, 2010. Illustrations.
SEC Oversight of Investment Advisers
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 230
Book Description
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 230
Book Description
SEC and corporate audits
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : Auditors
Languages : en
Pages : 1242
Book Description
Publisher:
ISBN:
Category : Auditors
Languages : en
Pages : 1242
Book Description
SEC, Oversight of the EDGAR System
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : EDGAR (Information retrieval system)
Languages : en
Pages : 364
Book Description
Publisher:
ISBN:
Category : EDGAR (Information retrieval system)
Languages : en
Pages : 364
Book Description
SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)
Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921752
Category : Business & Economics
Languages : en
Pages : 124
Book Description
The SEC first incorporated reliance on credit ratings into its rules and regulations in 1975 in connection with how broker-dealers must compute their net capital. In that rule, the SEC specified that a broker-dealer, in computing its net capital, could take a lesser deduction from its net worth as to securities that were rated as having a comparatively low chance of default according to a credit rating of a ¿nationally recognized statistical rating org.¿ (¿NRSRO¿). This report focuses on the implementation of and compliance with the Rating Agency Act and SEC rules. It also assessed the SEC¿s efforts to oversee the NRSROs and to implement the Rating Agency Act¿s accountability, competition, and transparency objectives.
Publisher: DIANE Publishing
ISBN: 1437921752
Category : Business & Economics
Languages : en
Pages : 124
Book Description
The SEC first incorporated reliance on credit ratings into its rules and regulations in 1975 in connection with how broker-dealers must compute their net capital. In that rule, the SEC specified that a broker-dealer, in computing its net capital, could take a lesser deduction from its net worth as to securities that were rated as having a comparatively low chance of default according to a credit rating of a ¿nationally recognized statistical rating org.¿ (¿NRSRO¿). This report focuses on the implementation of and compliance with the Rating Agency Act and SEC rules. It also assessed the SEC¿s efforts to oversee the NRSROs and to implement the Rating Agency Act¿s accountability, competition, and transparency objectives.
Mutual funds SEC adjusted its oversight in response to rapid industry growth : report to congressional committees
Author:
Publisher: DIANE Publishing
ISBN: 1428978658
Category :
Languages : en
Pages : 39
Book Description
Publisher: DIANE Publishing
ISBN: 1428978658
Category :
Languages : en
Pages : 39
Book Description