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SEC, Oversight of the EDGAR System

SEC, Oversight of the EDGAR System PDF Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : EDGAR (Information retrieval system)
Languages : en
Pages : 364

Book Description

SEC, Oversight of the EDGAR System

SEC, Oversight of the EDGAR System PDF Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher:
ISBN:
Category : EDGAR (Information retrieval system)
Languages : en
Pages : 364

Book Description

Official List of Section 13(f) Securities

Official List of Section 13(f) Securities PDF Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 182

Book Description

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921868
Category : Biography & Autobiography
Languages : en
Pages : 477

Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.

Financial Oversight of Enron

Financial Oversight of Enron PDF Author: United States. Congress. Senate. Committee on Governmental Affairs
Publisher:
ISBN:
Category : Credit ratings
Languages : en
Pages : 108

Book Description

Investment Company Act Release

Investment Company Act Release PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 974

Book Description

Securities Market Issues for the 21st Century

Securities Market Issues for the 21st Century PDF Author: Merritt B. Fox
Publisher:
ISBN: 9781982966850
Category : Securities
Languages : en
Pages : 476

Book Description

SEC Oversight

SEC Oversight PDF Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 272

Book Description

Oversight of the Securities and Exchange Commission and the Securities Industry

Oversight of the Securities and Exchange Commission and the Securities Industry PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 308

Book Description

Reauthorizations for the Securities and Exchange Commission, 1986-88

Reauthorizations for the Securities and Exchange Commission, 1986-88 PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Government securities
Languages : en
Pages : 364

Book Description

Oversight of the SEC's Agenda, Operations, and FY 2014 Budget Request

Oversight of the SEC's Agenda, Operations, and FY 2014 Budget Request PDF Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Financial services industry
Languages : en
Pages : 120

Book Description

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