Securities and Exchange Commission: Steps Being taken to Make Examination Program More Risk-Based and Transparent PDF Download

Author: United States. Government Accountability Office
Publisher: DIANE Publishing
ISBN: 9781422397794
Category :
Languages : en
Pages : 42

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Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983996658
Category :
Languages : en
Pages : 44

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Book Description
Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent

Author: United States. Government Accountability Office
Publisher:
ISBN:
Category :
Languages : en
Pages : 38

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Book Description

Author: United States Government Accountability
Publisher:
ISBN: 9781298016560
Category :
Languages : en
Pages : 46

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Book Description
This work has been selected by scholars as being culturally important, and is part of the knowledge base of civilization as we know it. This work was reproduced from the original artifact, and remains as true to the original work as possible. Therefore, you will see the original copyright references, library stamps (as most of these works have been housed in our most important libraries around the world), and other notations in the work. This work is in the public domain in the United States of America, and possibly other nations. Within the United States, you may freely copy and distribute this work, as no entity (individual or corporate) has a copyright on the body of the work.As a reproduction of a historical artifact, this work may contain missing or blurred pages, poor pictures, errant marks, etc. Scholars believe, and we concur, that this work is important enough to be preserved, reproduced, and made generally available to the public. We appreciate your support of the preservation process, and thank you for being an important part of keeping this knowledge alive and relevant.

Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 822

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Author: Orice M. Williams
Publisher: DIANE Publishing
ISBN: 1437901670
Category : Business & Economics
Languages : en
Pages : 55

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Book Description
Since the 1998 near collapse of Long-Term Capital Mgmt. (LTCM), a large hedge fund -- a pooled invest. vehicle that is privately managed and engages in active trading of various types of securities and commodity futures and options -- the number of hedge funds has grown, and they have attracted invest. from institutional investors. This report: (1) describes how fed. financial regulators oversee hedge fund-related activities under their existing authorities; (2) examines what measures investors, creditors, and counter-parties have taken to impose market discipline on hedge funds; and (3) explores the potential for systemic risk from hedge fund-related activities and describes actions regulators have taken to address this risk. Illustrations.

Author: Charles L. Howard
Publisher: American Bar Association
ISBN: 9781604427783
Category : Law
Languages : en
Pages : 678

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This book provides a detailed rationale for the creation of ombudsman offices; suggestions for structuring and documenting an ombudsman program and how to address issues that arise in litigation; a comprehensive presentation of various legal issues associated with organizational ombudsman programs;and numerous examples of how ombudsmen function in their organizations to illustrate how they are effective in addressing issues that people would not otherwise raise.

Author: Mary L. Schapiro
Publisher: DIANE Publishing
ISBN: 1437936822
Category : Political Science
Languages : en
Pages : 20

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Book Description
In 2009, the country was just emerging from an economic crisis that threatened our financial system and the American economy. Since then, the SEC has taken significant steps to make the SEC more vigilant, sharp, and responsive, and focus the agency on its core mission of protecting investors, maintaining fair and orderly markets, and facilitating capital formation. This testimony provides an overview of the actions and initiatives the SEC is taking to better protect investors, improve markets, and facilitate capital formation. It details the changes in personnel, processes and technology that have been made at the Commission. It also discusses the status of the SEC inquiry into the severe market disruption on May 6, 2010. Illustrations.

Author: Alicia Puente Cackley
Publisher: DIANE Publishing
ISBN: 1437980260
Category : Reference
Languages : en
Pages : 51

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Book Description
Consumers are increasingly turning for help to financial planners (FP) individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insur. products, and managing tax and estate planning. This report examines: (1) how FP are regulated and overseen at the fed. and state levels; (2) what is known about the effectiveness of this regulation; and (3) the advantages and disadvantages of alternative regulatory approaches. To address these objectives, this report reviewed fed. and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed fed. and state gov't. entities and org. representing financial planners, and consumers. Illus. This is a print on demand report.

Author:
Publisher:
ISBN:
Category : Government securities
Languages : en
Pages : 44

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