Financial market preparedness : improvements made, but more action needed to prepare for wide-scale disasters : report to the Committee on Energy and Commerce, House of Representatives.

Securities and Exchange Commission : disclosure of proxy voting policies and proxy voting records by registered management investment companies.
by: Wannisky, Kathleen E.
Published: (2003)

SEC and CFTC : most fines collected, but improvements needed in the use of Treasury's collection service.
Published: (2001)

Review of investor protection and market oversight with the five commissioners of the Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, first session, June 26, 2007.
Published: (2007)

Mutual fund trading abuses : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005.
Published: (2005)

Mutual fund trading abuses : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005.
Published: (2005)

SEC mutual fund oversight : positive actions are being taken, but regulatory challenges remain : testimony before the Subcommittee on Commercial and Administrative Law, Committee on the Judiciary, House of Representatives /
by: Hillman, Richard J.
Published: (2005)

Mutual funds : SEC should modify proposed regulations to address some pension plan concerns : report to the Subcommittee on Oversight, Committee on Ways and Means, House of Representatives.
Published: (2004)

Examining the SEC's agenda, operations, and fiscal year 2018 budget request : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, second session, November 15, 2016.
Published: (2018)

Securities and Exchange Commission : disclosure in management's discussion and analysis about off-balance sheet arrangements and aggregate contractual obligations.
by: Wannisky, Kathleen E.
Published: (2003)

Oversight of the U.S. Securities and Exchange Commission : Wall Street's cop is finally back on the beat : virtual hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, October 5, 2021.
Published: (2022)

Who's watching the watchdog? : examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subcommittee of the Committee on Homeland Security and Governmental Affairs, United States Senate One Hundred Ninth Congress, first session, July 27, 2005.
Published: (2006)

Who's watching the watchdog? : examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subcommittee of the Committee on Homeland Security and Governmental Affairs, United States Senate One Hundred Ninth Congress, first session, July 27, 2005.
Published: (2006)

Improving Investment Research for Small and Emerging Issuers Act : report (to accompany H.R. 6139).
Published: (2018)

Mutual fund trading abuses : lessons can be learned from SEC not having detected violations at an earlier stage : report to the Committee on the Judiciary, House of Representatives.
Published: (2005)

Securities pricing : actions needed for conversion to decimals : statement of Thomas J. McCool, Director, Financial Institutions and Markets Issues, General Government Division, before the Subcommittee on Finance and Hazardous Materials, Committee on Commerce, House of Representatives /
by: McCool, Thomas Joseph, 1947-
Published: (1998)

Consumer Financial Choice and Capital Markets Protection Act of 2017 : report (to accompany H.R. 2319) (including cost estimate of the Congressional Budget Office).
Published: (2018)

Private Placement Improvement Act of 2016 : report together with minority views (to accompany H.R. 4852) (including cost estimate of the Congressional Budget Office).
Published: (2016)

Exchange Regulatory Improvement Act : report (to accompany H.R. 3555) (including cost estimate of the Congressional Budget Office).
Published: (2018)

Environmental disclosure : SEC should explore ways to improve tracking and transparency of information : report to congressional requesters.
Published: (2004)

Audit of the Office of Acquisitions' procurement and contract management functions.
Published: (2009)

Mutual funds : assessment of regulatory reforms to improve the management and sale of mutual funds /
by: Walker, David M. (David Michael), 1951-
Published: (2004)

Securities and Exchange Commission : additional actions needed to ensure planned improvements address limitations in Enforcement Division operations : report to the Ranking Member, Committee on Finance, U.S. Senate.
Published: (2007)

Securities and Exchange Commission : disclosure of mutual fund after-tax returns.
by: Wannisky, Kathleen E.
Published: (2001)

Securities and Exchange Commission : certification of disclosure in companies' quarterly and annual reports.
by: Wannisky, Kathleen E.
Published: (2002)

Securities and Exchange Commission rule concerning one share, one vote /
by: Seitzinger, Michael V.
Published: (1988)

Main Street Growth Act : report (to accompany H.R. 5877).
Published: (2018)

Securities and Exchange Commission rule 144A : resales of private placements to institutional investors /
by: Seitzinger, Michael V.
Published: (1991)

Streamlining Communications for Investors Act : report together with minority views (to accompany H.R. 6035) (including c.ost estimate of the Congressional Budget office).
Published: (2018)

Financial oversight of Enron : the SEC and private-sector watchdogs : report /
Published: (2002)

Financial oversight of Enron : the SEC and private-sector watchdogs : report /
Published: (2002)

Financial Audit : Securities and Exchange Commission's Financial Statements for FY2007-FY2006.
Published: (2007)

Internal control : improvements needed in SEC's accounting and operational procedures.
by: Franzel, Jeanette M.
Published: (2007)

Financial market preparedness : significant progress has been made, but pandemic planning and other challenges remain : report to congressional requesters /
Published: (2007)

Environmental disclosure : briefing on GAO's findings and recommendations.
by: Stephenson, John B.
Published: (2004)

Environmental disclosure : briefing on GAO's findings and recommendations.
Published: (2004)

Securities and Exchange Commission : books and records requirements for brokers and dealers under the Securities Exchange Act of 1934.
by: Wannisky, Kathleen E.
Published: (2001)