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Subjects (1-50 of 51)
United States Securities And Exchange Commission Rules And Practice
1
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
2
Electronic Book
 

Assessing the Madoff Ponzi scheme and regulatory failures : hearing before the Subcommittee on Capit


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

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 Axe Federal Documents Online  Y 4.F 49/20:111-2    ---  Available
3
Electronic Book
 

Climate change and U.S. financial regulators : overview and recent actions


Miller, Rena S., author.
[Washington, D.C.] : Congressional Research Service, 2021- 2021

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 Axe Federal Documents Online    ---  Available
4
ElectronicResource GovDoc
 

Computerized trading venues what should the rules of the road be? : hearing before the Subcommittee


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author.
Washington : U.S. Government Printing Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.112-756    ---  Available
5
ElectronicResource GovDoc
 

Conflict minerals disclosure rule SEC's actions and stakeholder-developed initiatives : report to co


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-12-763    ---  Available
6
ElectronicResource GovDoc
 

Defined contribution plans key information on target date funds as default investments should be pro


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2011] 2011

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 Axe Federal Documents Online  GA 1.13:GAO-11-118    ---  Available
7
Electronic Book
 

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
8
ElectronicResource GovDoc
 

Effects of repealing Fannie Mae's and Freddie Mac's SEC exemptions


Torregrosa, David.
[Washington, D.C.] : Congress of the United States, Congressional Budget Office, [2003] 2003

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 Axe Federal Documents Online  Y 10.2:R 29/2    ---  Available
9
Electronic Book
 

Examining enforcement of criminal insider trading and hedge fund activity : hearing before the Commi


United States. Congress. Senate. Committee on the Judiciary.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2007. 2007

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 Axe Federal Documents Online  Y 4.J 89/2:S.HRG.109-898    ---  Available
10
ElectronicResource GovDoc
 

Examining the SEC's failure to implement Title II of the JOBS Act and its impact on economic growth


United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations, author.
Washington : U.S. Government Printing Office, 2013. 2013

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 Axe Federal Documents Online  Y 4.F 49/20:113-15    ---  Available
11
ElectronicResource GovDoc
 

Federal rulemaking improvements needed to monitoring and evaluation of rules development as well as


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2009] 2009

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 Axe Federal Documents Online  GA 1.13:GAO-09-205    ---  Available
12
ElectronicResource GovDoc
 

Financial regulation clearer goals and reporting requirements could enhance efforts by CFTC and SEC


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2010] 2010

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 Axe Federal Documents Online  GA 1.13:GAO-10-410    ---  Available
13
Electronic Book
 

Full committee hearing on Sarbanes-Oxley section 404 : will the SEC's and PCAOB's new standards lowe


United States. Congress. House. Committee on Small Business.
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.SM 1:110-26    ---  Available
14
ElectronicResource GovDoc
 

Hedge funds overview of regulatory oversight, counterparty risks, and investment challenges : testim


Williams, Orice M.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2009] 2009

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 Axe Federal Documents Online  GA 1.5/2:GAO-09-677 T    ---  Available
15
ElectronicResource GovDoc
 

Hedge funds regulators and market participants are taking steps to strengthen market discipline, but


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2008] 2008

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 Axe Federal Documents Online  GA 1.13:GAO-08-200    ---  Available
16
ElectronicResource GovDoc
 

Implementing derivatives reform reducing systemic risk and improving market oversight : hearing befo


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author.
Washington : U.S. Government Printing Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.112-680    ---  Available
17
ElectronicResource GovDoc
 

Influenza pandemic key securities market participants are making progress, but agencies could do mor


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2009] 2009

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-10-8    ---  Available
18
ElectronicResource GovDoc
 

Internal controls SEC should consider requiring companies to discose whether they obtained an audito


United States. Government Accountability Office, issuing body.
[Washington, D.C.] : United States Government Accountability Office, 2013. 2013

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 Axe Federal Documents Online  GA 1.13:GAO-13-582    ---  Available
19
Electronic Book
 

Investigating and prosecuting financial fraud after the Fraud Enforcement and Recovery Act : hearing


United States. Congress. Senate. Committee on the Judiciary.
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.J 89/2:S.HRG.111-1115    ---  Available
20
ElectronicResource GovDoc
 

Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi scheme


United States. Securities and Exchange Commission. Office of Investigations.
[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of Investigations : [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  SE 1.2:M 26    ---  Available
21
ElectronicResource GovDoc
 

Investment advisers requirements and costs associated with the custody rule : report to congressiona


United States. Government Accountability Office, issuing body.
[Washington, D.C.] : United States Government Accountability Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-13-569    ---  Available
22
Electronic Book
 

Investor.gov.


United States. Securities and Exchange Commission. Office of Investor Education and Advocacy, author.
Washington, DC : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy 20--

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  SE 1.2:2    ---  Available
23
Electronic Book
 

It's only FAIR returning money to defrauded investors : hearings before the Subcommittee on Capital


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], 2003. 2003

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.F 49/20:108-4    ---  Available
24
ElectronicResource GovDoc
 

JOBS Act implementation update hearing before the Subcommittee on Investigations, Oversight, and Reg


United States. Congress. House. Committee on Small Business. Subcommittee on Investigations, Oversight, and Regulations, author.
Washington : U.S. Government Printing Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.SM 1:113-010    ---  Available
25
Electronic Book
 

The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform :


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.111-38    ---  Available
26
ElectronicResource GovDoc
 

Mitigating systemic risk in financial markets through Wall Street reforms hearing before the Committ


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author.
Washington : U.S. Government Printing Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.113-83    ---  Available
27
ElectronicResource GovDoc
 

Money penalties securities and futures regulators collect many fines but need to better use industry


United States. General Accounting Office.
Washington, D.C. (P.O. Box 37050, Washington 20013) : U.S. General Accounting Office, [1999] 1998

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GGD-99-8    ---  Available
28
ElectronicResource GovDoc
 

Municipal securities options for improving continuing disclosure : report to congressional committee


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

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 Axe Federal Documents Online  GA 1.13:GAO-12-698    ---  Available
29
ElectronicResource GovDoc
 

Municipal securities overview of market structure, pricing, and regulation : report to congressional


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

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-12-265    ---  Available
30
ElectronicResource GovDoc
 

Mutual fund proxy voting records and policies



[Washington, D.C.] : U.S. Securities and Exchange Commission, [2005] 2005

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 Axe Federal Documents Online  SE 1.2:M 98/5    ---  Available
31
Electronic Book
 

No one would listen a true financial thriller


Markopolos, Harry.
Hoboken, N.J. : Wiley, c2010. 2010

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Location Call No. OPAC Message Status
 Axe ProQuest E-Book  Electronic Book    ---  Available
32
Electronic Book
 

Overview of the SEC climate risk exposure proposed rule


Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2022- 2022

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 Axe Federal Documents Online    ---  Available
33
Electronic Book
 

Payment for order flow : the SEC proposes reforms.


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

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 Axe Federal Documents Online    ---  Available
34
ElectronicResource GovDoc
 

Perspectives on money market mutual fund reforms hearing before the Committee on Banking, Housing, a


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author.
Washington : U.S. Government Printing Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 4.B 22/3:S.HRG.112-740    ---  Available
35
Electronic Book
 

Priority open recommendations: Securities and Exchange Commission.


United States. Government Accountability Office, author.
Washington, DC : U.S. Government Accountability Office, 2023. 2023

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 Axe Federal Documents Online    ---  Available
36
Electronic Book
 

Private Placement Improvement Act of 2016 : 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], [2016] 2016

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  Y 1.1/8:114-726    ---  Available
37
Print Material
 

Providing for consideration of the bill (H.R. 45) to repeal the Patient Protection and Affordable Ca


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

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 Axe Archives Fed Docs  Y 1.1/8:113-59    ---  Lib Use Only
38
Print Material
 

Providing for consideration of the bill (H.R. 1062) to improve the consideration by the Securities


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

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 Axe Archives Fed Docs  Y 1.1/8:113-60    ---  Lib Use Only
39
ElectronicResource GovDoc
 

Regulation SHO recent actions appear to have initially reduced failures to deliver, but more industr


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2009] 2009

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-09-483    ---  Available
40
Electronic Book
 

A review of current securities issues : 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 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.B 22/3:S.HRG.109-969    ---  Available
41
ElectronicResource GovDoc
 

Sarbanes-Oxley Act consideration of key principles needed in addressing implementation for smaller p


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Government Accountability Office, [2006] 2006

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 Axe Federal Documents Online  GA 1.13:GAO-06-361    ---  Available
42
ElectronicResource GovDoc
 

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management at


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

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 Axe Federal Documents Online  GA 1.13:GAO-05-670    ---  Available
43
ElectronicResource GovDoc
 

SEC conflict minerals rule information on responsible sourcing and companies affected : report to co


United States. Government Accountability Office, issuing body.
[Washington, D.C.] : United States Government Accountability Office, 2013. 2013

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Location Call No. OPAC Message Status
 Axe Federal Documents Online  GA 1.13:GAO-13-689    ---  Available
44
Electronic Book
 

SEC proxy access proposals : implications for investors : hearing before the Committee on Financial


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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 Axe Federal Documents Online  Y 4.F 49/20:110-63    ---  Available
45
ElectronicResource GovDoc
 

The SEC's aversion to cost-benefit analysis hearing before the Subcommittee on TARP, Financial Servi


United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs, author.
Washington : U.S. Government Printing Office, 2012. 2012

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 Axe Federal Documents Online  Y 4.G 74/7:112-139    ---  Available
46
ElectronicResource GovDoc
 

The SEC's role regarding and oversight of nationally recognized statistical rating organizations (NR


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

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 Axe Federal Documents Online  SE 1.2:OV 2    ---  Available
47
ElectronicResource GovDoc
 

Securities and Exchange Commission action needed to improve rating agency registration program and p


United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2010] 2010

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 Axe Federal Documents Online  GA 1.13:GAO-10-782    ---  Available
48
ElectronicResource GovDoc
 

Securities and Exchange Commission alternative criteria for qualifying as an accredited investor sho


United States. Government Accountability Office, issuing body.
[Washington, D.C.] : United States Government Accountability Office, 2013. 2013

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 Axe Federal Documents Online  GA 1.13:GAO-13-640    ---  Available
49
ElectronicResource GovDoc
 

Securities and Exchange Commission opportunities exist to improve oversight of self-regulatory organ


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

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 Axe Federal Documents Online  GA 1.13:GAO-08-33    ---  Available
50
Print Material
 

Securities Investor Protection Corporation (SIPC) : basic functions and fairness and adequacy issues


Shorter, Gary W., author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

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 Axe Federal Documents Online  LC 14.23:R 41599/    ---  Available
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