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Subjects (1-19 of 19)
United States Securities And Exchange Commission Rules And Practice Evaluation
1
E-Book/E-Doc
 

Corporate shareholder meetings, proxy advisory firms’ role in voting and corporate governance


United States. Government Accountability Office, issuing body.
[Washington, D.C.] : United States Government Accountability Office, 2016. 2016

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-17-47    ---  Available
2
E-Book/E-Doc
 

Environmental disclosure briefing on GAO's findings and recommendations.


Stephenson, John B.
Washington, DC : U.S. Government Accountability Office, [2004] 2004

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.41:GAO-04-1019 R    ---  Available
3
E-Book/E-Doc
 

Environmental disclosure SEC should explore ways to improve tracking and transparency of information


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

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Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-04-808    ---  Available
4
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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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-04-984    ---  Available
5
E-Book/E-Doc
 

Financial oversight of Enron : the SEC and private-sector watchdogs : report


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.G 74/9:S.PRT.107-75    ---  Available
6
E-Book/E-Doc
 

Mutual fund trading abuses lessons can be learned from SEC not having detected violations at an earl


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-05-313    ---  Available
7
E-Book/E-Doc
 

Mutual fund trading abuses SEC consistently applied procedures in setting penalties, but could stren


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-05-385    ---  Available
8
E-Book/E-Doc
 

Mutual funds SEC should modify proposed regulations to address some pension plan concerns : report t


United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2004] 2004

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Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-04-799    ---  Available
9
E-Book/E-Doc
 

Review of investor protection and market oversight with the five commissioners of the Securities and


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.F 49/20:110-46    ---  Available
10
E-Book/E-Doc
 

SEC and CFTC most fines collected, but improvements needed in the use of Treasury's collection servi


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

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Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-01-900    ---  Available
11
E-Book/E-Doc
 

SEC conflict minerals rule, initial disclosures indicate most companies were unable to determine the


United States. Government Accountability Office, author.
[Washington, D.C.] : United States Government Accountability Office, 2015. 2015

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-15-561    ---  Available
12
E-Book/E-Doc
 

SEC enforcement more actions needed to improve oversight of disgorgement collections.


United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2002] 2002

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-02-771    ---  Available
13
E-Book/E-Doc
 

Securities and Exchange Commission acceleration of periodic report filing dates and disclosure conce


Wannisky, Kathleen E.
Washington, DC : U.S. General Accounting Office, [2002] 2002

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-02-1108 R    ---  Available
14
E-Book/E-Doc
 

Securities and Exchange Commission books and records requirements for brokers and dealers under the


Wannisky, Kathleen E.
Washington, DC : U.S. General Accounting Office, [2001] 2001

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.41:GAO-02-223 R    ---  Available
15
E-Book/E-Doc
 

Securities and Exchange Commission certification of disclosure in companies' quarterly and annual re


Wannisky, Kathleen E.
Washington, DC : U.S. General Accounting Office, [2002] 2002

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-02-1100 R    ---  Available
16
E-Book/E-Doc
 

Securities and Exchange Commission disclosure in management's discussion and analysis about off-bala


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

Rating:

Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-03-463 R    ---  Available
17
E-Book/E-Doc
 

Securities and Exchange Commission disclosure of mutual fund after-tax returns.


Wannisky, Kathleen E.
Washington, DC : U.S. General Accounting Office, [2001] 2001

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Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.41:GAO-01-393 R    ---  Available
18
E-Book/E-Doc
 

Securities and Exchange Commission disclosure of proxy voting policies and proxy voting records by r


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-03-477 R    ---  Available
19
E-Book/E-Doc
 

Securities markets opportunities exist to enhance investor confidence and improve listing program ov


United States. General Accounting Office.
[Washington, D.C.] : U.S. General Accounting Office, [2004] 2004

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Copies

Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-04-75    ---  Available
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