Securities and Exchange Commission : greater attention needed to enhance communication and utilization of resources in the Division of Enforcement : report to congressional requesters.

Strengthening the SEC's vital enforcement responsibilities : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session ... May 7, 2009.
Published: (2009)

Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, June 21, 2018.
Published: (2018)

Improvements needed in the Division of Enforcement's oversight of fund administrators /
Published: (2015)

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

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

Strengthening the SEC's vital enforcement responsibilities : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the important role of the Securities and Exchange Commission in protecting investors by aggressively enforcing federal securities laws, May 7, 2009.
Published: (2009)

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)

Securities and Exchange Commission : alternative criteria for qualifying as an accredited investor should be considered : report to congressional committees.
Published: (2013)

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

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

Division of Enforcement's disgorgement waivers.
Published: (2009)

Audit of the SEC's internal controls for retaining external experts and foreign counsel for the Division of Enforcement.
Published: (2018)

Securities and Exchange Commission : certain research and development companies.
by: Wannisky, Kathleen E.
Published: (2003)

U.S. Securities and Exchange Commission.

Securities and Exchange Commission : human capital challenges require management attention.
Published: (2001)

Providing for consideration of the bill (H.R. 1062) to improve the consideration by the Securities and Exchange Commission of the costs and benefits of its regulations and orders : report (to accompany H. Res. 216).
Published: (2013)

Oversight of the Securities and Exchange Commission : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on receiving updates from the Chairman of the Securities and Exchange Commission regarding the agency's work and agenda, December 10, 2019.
Published: (2022)

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

Securities and Exchange Commission : management's report on internal control over financial reporting and certification of disclosure in Exchange Act periodic reports /
Published: (2003)

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

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

Securities and Exchange Commission : continued management attention would strengthen internal supervisory controls : report to congressional committees.
Published: (2013)

Securities and Exchange Commission : information on Fair Fund collections and distributions /
by: Clowers, A. Nicole
Published: (2010)

Securities markets : opportunities exist to enhance investor confidence and improve listing program oversight : report to congressional requesters.
Published: (2004)

The Securities and Exchange Commission (SEC) : background, issues, bibliography /
Published: (2003)

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

To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals : report together with minority views (to accompany H.R. 5756) (including cost estimate of the Congressional Budget Office).
Published: (2018)

OCIE regional offices' referrals to enforcement.
Published: (2011)

Securities Exchange Commission Authorization.
Published: (1980)

An introduction to the Securities and Exchange Commission /
by: Pointer, Larry Gene
Published: (1986)

Oversight of the SEC's Division of Enforcement : 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, second session, May 16, 2018.
Published: (2018)

Amending a provision of the Securities Act of 1933 directing the Securities and Exchange Commission to add a particular class of securities to those exempted under such act to provide a deadline for such action : report (to accompany H.R. 701) (including cost estimate of the Congressional Budget Office).
Published: (2013)

Oversight of the SEC's Division of Enforcement : 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, Marc 19, 2015.
Published: (2015)