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Subjects (1-50 of 140)
Securities United States
1
E-Book/E-Doc
 

Accelerating Access to Capital Act of 2015 : report together with minority views (to accompany H.R.


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2016] 2016

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:114-506    ---  Available
2
E-Book/E-Doc
 

Access to Capital for Job Creators Act report (to accompany H.R. 2940) (including cost estimate of t


United States. Congress. House. Committee on Financial Services.
[Washington, D.C.] : [U.S. G.P.O.], [2011] 2011

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:112-263    ---  Available
3
Print Material
 

Access to Capital for Job Creators Act : report (to accompany H.R. 2940) (including cost estimate of


United States. Congress. House. Committee on Financial Services.
[Washington, D.C. : U.S. G.P.O., 2011] 2011

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Location Call No. OPAC Message Status
 Axe Archives Fed Docs  Y 1.1/8:112-263    ---  Lib Use Only
4
E-Book/E-Doc
 

Accounts, opening a brokerage account



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008] 2008

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:AC 3    ---  Available
5
Print Material
 

Accredited Investor Definition Review Act : report (to accompany H.R. 1579) (Including cost estimate


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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6
E-Book/E-Doc
 

After Enron improving corporate law and modernising securities regulation in Europe and the US



Oxford [U.K.] ; Portland, Ore. : Hart Publishing, 2006. 2006

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Location Call No. OPAC Message Status
 Axe ProQuest E-Book  Electronic Book    ---  Available
7
Print Material
 

Alternative ways to provide fuel within the Department of Defense.



[Washington, D.C.] : Congressional Budget Office, 2023. 2023

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8
Print Material
 

Amending a provision of the Securities Act of 1933 directing the Securities and Exchange Commission


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Printing Office], [2013] 2013

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 Axe Archives Fed Docs  Y 1.1/8:113-58    ---  Lib Use Only
9
Print Material
 

Amending the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which c


United States. Congress. House. Committee on Financial Services.
[Washington, D.C. : U.S. G.P.O., 2012] 2012

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Location Call No. OPAC Message Status
 Axe Archives Fed Docs  Y 1.1/8:112-566    ---  Lib Use Only
10
E-Book/E-Doc
 

Amending the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which c


United States. Congress. House. Committee on Financial Services.
[Washington, D.C.] : [U.S. G.P.O.], [2012] 2012

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:112-566    ---  Available
11
E-Book/E-Doc
 

Ask questions : questions you should ask about your investments



Washington, DC : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, [2011] 2011

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 Axe Federal Documents Online  SE 1.2:Q 3/2011    ---  Available
12
E-Book/E-Doc
 

Auction rate securities market : a review of problems and potential resolutions : hearing before the


United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2008. 2008

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.F 49/20:110-140    ---  Available
13
Print Material
 

Businesses Over Activists Act : report together with minority views (to accompany H.R. 4655) (includ


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], 2023. 2023

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14
Print Material
 

Capital access: SEC Regulation A+ ("Mini-IPO")


Su, Eva, author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

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15
E-Book/E-Doc
 

Capital markets regulatory reform : strengthening investor protection, enhancing oversight of privat


United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010. 2010

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 Axe Federal Documents Online  Y 4.F 49/20:111-84    ---  Available
16
Print Material
 

China's holdings of U.S. securities : implications for the U.S. economy


Morrison, Wayne M., author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  LC 14.23:RL 34314/    ---  Available
17
E-Book/E-Doc
 

Comparing European and U.S. securities regulations MiFID versus corresponding U.S. regulations


Boskovic, Tanja.
Washington, D.C. : World Bank, c2010. 2010

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 Axe ProQuest E-Book  Electronic Book    ---  Available
18
E-Book/E-Doc
 

The Competitive Market Supervision Act, S. 2107 : hearing before the Committee on Banking, Housing,


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Superintendent of Documents, Congressional Sales Office 2001. 2001

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.106-937    ---  Available
19
Print Material
 

Conflicts of interest rule for asset-backed securities


Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2020- 2020

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  LC 14.24:IF 10410/    ---  Available
20
Print Material
 

Continuation of the national emergency with respect to the threat from securities investments that f


United States. President (2021- : Biden), author.
Washington : U.S. Government Publishing Office, 2021. 2021

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/7:117-72    ---  Available
21
Print Material
 

Continuation of the national emergency with respect to the threat from securities investments that f


United States. President (2021- : Biden), author.
Washington : U.S. Government Publishing Office, 2022. 2022

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22
Print Material
 

The Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Interme


Hague Conference on Private International Law. Permanent Bureau.
Washington : U.S. G.P.O., 2012. 2012

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 Axe Federal Documents Online  Y 1.1/4:112-6    ---  Available
23
E-Book/E-Doc
 

Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediar


United States. Congress. Senate. Committee on Foreign Relations, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2016] 2016

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/6:114-15    ---  Available
24
Print Material
 

Corporate Management Accountability Act of 2019 : report together with minority views (to accompany


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2019] 2019

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25
Print Material
 

COVID-19: commercial paper market strains and federal government support


Miller, Rena S., author.
[Washington, D.C.] : Congressional Research Service, 2020- 2020

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26
Print Material
 

Cybersecurity Disclosure Act of 2019 : report together with minority views (to accompany H.R. 1731)


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2020] 2020

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:116-633    ---  Available
27
E-Book/E-Doc
 

Disclosure Modernization and Simplification Act of 2014 : report (to accompany H.R. 4569) (including


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Printing Office], [2014] 2014

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:113-642    ---  Available
28
E-Book/E-Doc
 

Disclosure Modernization and Simplification Act of 2015 : report (to accompany H.R. 1525) (including


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2015] 2015

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 Axe Federal Documents Online  Y 1.1/8:114-279    ---  Available
29
Print Material
 

Disclosure of Tax Havens and Offshoring Act : report together with minority views (to accompany H.R.


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2021] 2021

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 Axe Federal Documents Online  Y 1.1/8:117-52    ---  Available
30
Print Material
 

The Dodd-Frank Wall Street Reform and Consumer Protection Act


Miller, Rena S., author.
[Washington, D.C.] : Congressional Research Service, 2020- 2020

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31
Print Material
 

Dodd-Frank Wall Street Reform and Consumer Protection Act : conference report (to accompany H.R. 417


United States. Congress (111th, 2nd session : 2010)
Washington : U.S. G.P.O., 2010. 2010

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 Axe Federal Documents Online  Y 1.1/8:111-517    ---  Available
32
E-Book/E-Doc
 

Due Process Restoration Act of 2015 : report together with minority views (to accompany H.R. 3798) (


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2016] 2016

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 Axe Federal Documents Online  Y 1.1/8:114-697    ---  Available
33
Print Material
 

Empowering States to Protect Seniors from Bad Actors Act : report (to accompany H.R. 5914).


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2022] 2022

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34
E-Book/E-Doc
 

Encouraging Employee Ownership Act of 2015 : report together with minority views (to accompany H.R.


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2016] 2015

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 Axe Federal Documents Online  Y 1.1/8:114-398    ---  Available
35
E-Book/E-Doc
 

Encouraging Employee Ownership Act of 2017 : report together with minority views (to accompany H.R.


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2017] 2017

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 Axe Federal Documents Online  Y 1.1/8:115-71    ---  Available
36
Print Material
 

Encouraging Public Offerings Act of 2023: report (to accompany H.R. 2793) (including cost estimate o


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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37
E-Book/E-Doc
 

Enhanced investor protection after the financial crisis hearing before the Committee on Banking, Hou


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2012. 2012

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.112-238    ---  Available
38
E-Book/E-Doc
 

Enhancing investor protection and the regulation of securities markets : hearing before the Committe


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009- 2009

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.111-144    ---  Available
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.111-58    ---  Available
39
Print Material
 

Enhancing Multi-Class Share Disclosures Act : report (to accompany H.R. 2795) (including cost estima


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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40
Print Material
 

Equal Opportunity for All Investors Act of 2023 : report (to accompany H.R. 2797) (including cost es


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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41
Print Material
 

ESG Disclosure Simplification Act of 2019 : report together with minority views (to accompany H.R. 4


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2020] 2020

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42
Print Material
 

ESG Disclosure Simplification Act of 2021 : report together with minority views (to accompany H.R. 1


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2021] 2021

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:117-54    ---  Available
43
Print Material
 

The EU's MiFID II, broker research, and the SEC's no-action letters


Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2023- 2023

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44
E-Book/E-Doc
 

Examining the efficiency, stability, and integrity of the U.S. capital markets : joint hearing befor


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011. 2011

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.111-922    ---  Available
45
Print Material
 

Expanding Access to Capital Act of 2023 : report (to accompany H.R. 2799) (including cost estimate o


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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46
Print Material
 

Expanding Access to Capital Act of 2023 : report together with minority views (to accompany H.R. 279


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], 2023. 2023

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47
Print Material
 

Fair Investment Opportunities for Professional Experts Act : report (to accompany H.R. 835) (Includi


United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2023] 2023

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48
Print Material
 

Federal securities law


Hazen, Thomas Lee, 1947- author.
Washington, DC : Federal Judicial Center, 2022. 2022

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 Axe Archives Fed Docs  JU 13.2:SE 2/2022    ---  Available
49
Print Material
 

Federal securities laws : an overview


Linebaugh, Chris D., author.
[Washington, D.C.] : Congressional Research Service, 2020- 2020

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50
E-Book/E-Doc
 

Financial market preparedness improvements made, but more action needed to prepare for wide-scale di


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Government Accountability Office, [2004] 2004

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 Axe Federal Documents Online  GA 1.13:GAO-04-984    ---  Available
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