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

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

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

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

Conflict minerals: company reports on mineral sources in 2017 are similar to prior years and new dat

United States. Government Accountability Office, author.
[Washington, D.C.] : United States Government Accountability Office, 2018. 2018

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

EDGAR filer manual.

United States. Securities and Exchange Commission, author.
[Washington, D.C.] : U.S. Securities and Exchange Commission 1991

Employee ownership of registration-exempt company securities : proposals to reform required corporat

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

Enforcement and market data

United States. Securities and Exchange Commission.
[Washington, D.C.] : U.S. Securities and Exchange Commission 2004

Environmental, social and governance funds: SEC-proposed disclosure reform

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

Environmental, social, and governance funds: SEC proposed names rule reform

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

Financial services and general government appropriations for 2022 : hearings before a subcommittee o

United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government, author.
Washington : U.S. Government Publishing Office, 2021- 2020

Financial services and general government appropriations for 2023 : hearings before a subcommittee o

United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government, author.
Washington : U.S. Government Publishing Office, 2022- 2022

Financial services and general government appropriations for fiscal year 2010 : hearings before a su

United States. Congress. Senate. Committee on Appropriations. Subcommittee on Financial Services and General Government.
Washington : U.S. G.P.O., 2009. 2009

Financial services and general government appropriations for fiscal year 2012 : hearings before a su

United States. Congress. Senate. Committee on Appropriations. Subcommittee on Financial Services and General Government.
Washington : U.S. G.P.O., 2012. 2012

Financial services and general government appropriations for fiscal year 2015 hearings before a subc

United States. Congress. Senate. Committee on Appropriations. Subcommittee on Financial Services and General Government, author.
Washington : U.S. Government Publishing Office, 2015. 2015

Fiscal year ... agency financial report

United States. Securities and Exchange Commission, author.
Washington, DC : U.S. Securities and Exchange Commission 2012

Fixing the watchdog legislative proposals to improve and enhance the Securities and Exchange Commiss

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

GameStop-related market volatility : what happened?

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

Insider trading

Sykes, Jay B., author.
[Washington, D.C.] : Congressional Research Service, 2021- 2021

Introduction to financial services: the Securities and Exchange Commission

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

Introduction to financial services.

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

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

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

The investor's advocate : how the SEC protects investors, maintains market integrity, and facilities

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

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

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

Priority open recommendations: Securities and Exchange Commission.

United States. Government Accountability Office, author.
Washington, DC : U.S. Government Accountability Office, 2022. 2022

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

Risk-based Credit Examination Act : report (to accompany H.R. 4586).

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [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-proposed regulations to reform stock trading

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

SEC securities disclosure : background and policy issues

Su, Eva, author.
[Washington, D.C.] : Congressional Research Service, 2018- 2018

The SEC's best interest proposal for advice given by broker-dealers

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

The SEC's proxy advisory firm disclosure reforms

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

The SEC's September 2020 reform on investor eligibility to advance shareholder proposals

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

SEC's September 2020 rule toughens resubmission of shareholder proposals

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

Securities and Exchange Commission: additional guidance needed for assessing staff procedures

United States. Government Accountability Office, author.
Washington, DC : United States Government Accountability Office, 2022. 2022

Securities and Exchange Commission: employee views of personnel management improved, but action need

United States. Government Accountability Office, author.
Washington, DC : United States Government Accountability Office, 2022. 2022

Securities and Exchange Commission Real Estate Leasing Authority Revocation Act : report (to accompa

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

Securities and Exchange Commission Reporting Modernization Act : report (to accompany H.R. 3032) (in

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

Securities and Exchange Commission rule 151A and annuities : issues and legislation

Webel, Baird, author.
[Washington, D.C.] : Congressional Research Service, 2019- 2019

Securities and Exchange Commission (SEC) actions to mitigate the impact of COVID-19

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

Securities arbitration : actions needed to address problem of unpaid awards : report to congressiona

United States. General Accounting Office.
Washington, D.C. : The Office, [2000] 2000

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

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

Securities regulation: SEC inspections of financial industry regulatory authority's governance were

United States. Government Accountability Office, author.
[Washington, D.C.] : United States Government Accountability Office, 2018. 2018

Streamlining Excessive and Costly Regulations Review Act : report together with minority views (to a

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

Supreme Court holds that SEC administrative law judges are "officers" subject to the appointments cl

Killion, Victoria L., author.
[Washington, D.C.] : Congressional Research Service, 2018- 2018

To Amend the Investment Advisers Act of 1940 to Codify Certain Securities and Exchange Commission No

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

Updated: the latest on the SEC's consideration of the proposed acquisition of Chicago Stock Exchange

Sykes, Jay B., author.
[Washington, D.C.] : Congressional Research Service, 2018- 2018