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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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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--

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

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

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

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

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

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

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

Mutual fund proxy voting records and policies

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

No one would listen a true financial thriller

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

Overview of the SEC climate risk exposure proposed rule

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

Payment for order flow : the SEC proposes reforms.

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

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

Priority open recommendations: Securities and Exchange Commission.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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