SEC enforcement : responses to GAO and SEC recommendations related to microcap stock fraud : report to congressional committees.

Securities regulation: SEC inspections of financial industry regulatory authority's governance were consistent with internal guidance : report to congressional committees.
Published: (2018)

The SEC's aversion to cost-benefit analysis : hearing before the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Twelfth Congress, second session, April 17, 2012.
Published: (2012)

The SEC's aversion to cost-benefit analysis : hearing before the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Twelfth Congress, second session, April 17, 2012.
Published: (2012)

Insider trading sanctions and SEC enforcement legislation : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, first session, on H.R. 559 ... April 13, 1983.
Published: (1983)

SEC's first "shadow trading" case slated for trial /
by: Sykes, Jay B.
Published: (2024)

Oversight of the SEC's Division of Enforcement : hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, July 19, 2022.
Published: (2022)

Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, November 17, 2005.
Published: (2006)

Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, November 17, 2005.
Published: (2006)

SEC v. Jarkesy : constitutionality of administrative enforcement actions /
by: Shedd, Daniel T.
Published: (2024)

SEC enforcement : more actions needed to improve oversight of disgorgement collections.
Published: (2002)

Money penalties : securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees.
Published: (1999)

Financial services regulators : better information sharing could reduce fraud : statement of Richard J. Hillman, Director, Financial Markets and Community Investment, before the Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services, House of Representatives /
by: Hillman, Richard J.
Published: (2001)

The SEC's investigation of Thomas Reed : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, first session, on the SEC's investigation of Thomas Reed, March 22, 1983.
Published: (1983)

The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005.
Published: (2005)

The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005.
Published: (2005)

The industrial organization and regulation of the securities industry /
Published: (1996)

Eagle on the Street : based on the Pulitzer Prize-winning account of the SEC's battle with Wall Street /
by: Vise, David A.
Published: (1991)

Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session ... Thursday, May 17, 2007.
Published: (2009)

Securities and Exchange Commission : opportunities exist to improve oversight of self-regulatory organizations : report to the Ranking Member, Committee on Finance, U.S. Senate.
Published: (2007)

Securities operations : day trading requires continued oversight : report to congressional requesters /
Published: (2000)

Securities markets : competition and multiple regulators heighten concerns about self-regulation.
Published: (2002)

SEC special studies /
Published: (1994)

SEC and CFTC penalties : continued progress made in collection efforts, but greater SEC management attention is needed : report to Congressional Requesters /
Published: (2005)

SEC and CFTC fines follow-up : collection programs are improving, but further steps are warranted.
Published: (2003)

Securities regulation : opportunities exist to improve SEC's oversight of the Financial Industry Regulatory Authority : report to congressional committees.
Published: (2012)

Securities laws enforcement : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, first session, on H.R. 975 ... July 19, 1989.
Published: (1989)

Securities fraud liability of secondary actors /
by: Sawtelle, Susan D.
Published: (2011)

SEC and CFTC penalities : continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.
Published: (2005)

Follow-up report on matters relating to securities arbitration.
Published: (2003)

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, September 7, 2017.
Published: (2018)

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.
Published: (2015)

Report to the Securities and Exchange Commission regarding arbitrator conflict disclosure requirements in NASD and NYSE securities arbitrations /
by: Perino, Michael A.
Published: (2002)

Redesigning financial regulation : the politics of enforcement /
by: O'Brien, Justin
Published: (2007)

Redesigning financial regulation : the politics of enforcement /
by: O'Brien, Justin
Published: (2007)

Mutual funds : SEC adjusted its oversight in response to rapid industry growth : report to congressional committees /
Published: (1997)

Program improvements needed within the SEC's Division of Enforcement.
Published: (2009)