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Assessment of the SEC's privacy program

United States. Securities and Exchange Commission. Office of Audits.
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, [2010] 2010

Competition and transparency in the financial marketplace of the future : hearing before the Subcomm

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

Corporate shareholder meetings issues relating to firms that advise institutional investors on proxy

United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2007] 2007

Day trading

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

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve inv

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2012. 2012

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

Evaluation of steps taken to address the problem of unpaid arbitration awards

United States. General Accounting Office.
Washington, DC : The Office, [2001] 2001

Get the facts the SEC's roadmap to saving and investing

[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007] 2007

How the SEC handles your complaint

[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009] 2009

Introduction to financial services: the Securities and Exchange Commission

Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2021- 2021

Invest wisely : advice from your securities industry regulators.

[Washington, D.C.?] : [U.S. Securities and Exchange Commission], [1997?] 1997

Invest wisely : an introduction to mutual funds.

[Washington, D.C.?] : [U.S. Securities and Exchange Commission], [1997?] 1997

Liu v. SEC : the Supreme Court to consider whether disgorgement is an equitable remedy in SEC enforc

Lobert, Joshua T., author.
[Washington, D.C.] : Congressional Research Service, 2020- 2020

Lost security holders : reuniting security holders with their investments : hearing before the Subco

United States. Congress. House. Committee on Commerce. Subcommittee on Finance and Hazardous Materials.
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 2000. 2000

Mutual fund industry SEC's revised examination approach offers potential benefits, but significant o

United States. Government Accountability Office.
[Washington, D.C.] : U.S. Government Accountability Office, [2005] 2005

Mutual funds SEC adjusted its oversight in response to rapid industry growth : report to congression

United States. General Accounting Office.
Washington, D.C. : The Office, [1997] 1997

On-line trading investor protections have improved but continued attention is needed : report to Con

United States. General Accounting Office.
[Washington, D.C.] : The Office, [2001] 2001

Overview of the regulation of the bond markets : hearing before the Committee on Banking, Housing, a

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., 2006. 2006

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before t

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., 2006. 2006

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before t

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., 2007. 2007

Public ownership of U.S. stock markets : hearing before the Committee on Banking, Housing, and Urban

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., Supt. of Docs., Congressional Sales Office, 2001. 2001

Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2001. 2001

Reforming credit rating agencies : the SEC's need for statutory authority : hearing before the Subco

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005. 2005

Regulation NMS and developments in market structures : hearings 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., 2006. 2006

Report on the municipal securities market

United States. Securities and Exchange Commission, author.
[Washington, D.C.] : U.S. Securities and Exchange Commission, 2012. 2012

Review of current investigations and regulatory actions regarding the mutual fund industry : hearing

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., 2004. 2004

Review of the SEC's compliance with the Freedom of Information Act

United States. Securities and Exchange Commission. Office of Audits.
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, [2009] 2009

The role of state securities regulators in protecting investors : hearing before the Committee on Ba

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., 2005. 2005

Saving investors money and strengthening the SEC : 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 Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2002. 2002

Saving investors money : reducing excessive SEC fees : hearing before the Subcommittee on Capital Ma

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2001. 2001

SCOTUS considers federal court jurisdiction over constitutional challenges to pending agency actions

Killion, Victoria L., author.
[Washington, D.C.] : Congressional Research Service, 2022- 2022

SEC climate change disclosure guidance : an overview and congressional concerns

Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2018- 2018

SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insur

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009. 2009

SEC-proposed regulations to reform stock trading

Su, Eva, author.
[Washington, D.C.] : Congressional Research Service, 2023- 2023

The SECs [i.e. SEC's] role in capital formation : help or hindrance? : hearing before the Subcommitt

United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2001. 2001

The SEC's proposed auditor independence rules : hearing before the Subcommittee on Securities of the

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2002. 2002

SEC's report provides useful information on mutual fund fees and recommends improved fee disclosure

United States. General Accounting Office.
[Washington, D.C.] : The Office, [2001] 2001

Securities and Exchange Commission strengthening the Commission's requirements regarding auditor ind

Wannisky, Kathleen E.
Washington, DC : U.S. General Accounting Office, [2003] 2003

Securities investor protection steps needed to better disclose SIPC policies to investors.

United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2001] 2001

Securities regulation factors that may affect trends in Regulation A offerings : report to congressi

United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2012] 2012

Selling America short the SEC and market contrarians in the age of absurdity

Sauer, Richard.
Hoboken, N.J. : John Wiley & Sons, c2010. 2010