Cover Image

Putting investors first : examining proposals to strengthen enforcement against securities law violators : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, June 19, 2019.

Bibliographic Details
Corporate Author:	United States. Congress. House. Committee on Financial Services. Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets (Author)
Format:	Government Document eBook
Language:	English
Published:	Washington : U.S. Government Publishing Office, 2020.
Subjects:	United States. > Securities and Exchange Commission > Rules and practice. Securities > United States. Consumer protection > Law and legislation > United States. Securities fraud > United States > Prevention. Legislative hearings.
Online Access:	https://purl.fdlp.gov/GPO/gpo135435 https://purl.fdlp.gov/GPO/gpo

Similar Items

Putting investors first? : examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, March 14, 2019.
Published: (2019)

It's only FAIR : returning money to defrauded investors : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, February 26, 2003.
Published: (2003)

It's only FAIR : returning money to defrauded investors : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, February 26, 2003.
Published: (2003)

Securities fraud : the Internet poses challenges to regulators and investors : statement of Richard J. Hillman, Associate Director, Financial Institutions and Markets Issues, General Government Division, before the Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate.
by: Hillman, Richard J.
Published: (1999)

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)

Investor.gov.

Putting investors first : reviewing proposals to hold executives accountable : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, April 3, 2019.
Published: (2019)

Promoting Transparent Standards for Corporate Insiders Act : report (to accompany H.R. 6320) (including cost estimate of the Congressional Budget Office).
Published: (2018)

The investor and the Securities act /
by: Cherrington, Homer Virgil, 1891-
Published: (1942)

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

Insider trading : economics, politics, and policy /
by: Macey, Jonathan R.
Published: (1991)

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

Report on Institutional Investors Study.
Published: (1970)

Hedge funds : regulators and market participants are taking steps to strengthen market discipline, but continued attention is needed : report to congressional requesters.
Published: (2008)

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)

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)

Saving investors money : reducing excessive SEC fees : 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 Seventh Congress, first session, March 7, 2001.
Published: (2001)

Saving investors money : reducing excessive SEC fees : 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 Seventh Congress, first session, March 7, 2001.
Published: (2001)

Securities investor protection : steps needed to better disclose SIPC policies to investors.
Published: (2001)

SEC institutional investor study extension : hearing, Ninety-first congress, second session, on H.J. Res. 1247 ... July 27, 1970.
Published: (1970)

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)

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)

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)

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)

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)

Investment Adviser Regulatory Flexibility Improvement Act : report (to accompany H.R. 6321) (including cost estimate of the Congressional Budget Office).
Published: (2018)

Investor Protection Act of 2009 : report together with dissenting views (to accompany H.R. 3817) (including cost estimate of the Congressional Budget Office).
Published: (2010)

Follow-Up on GAO Recommendations Concerning the Securities Investor Protection Corporation.
Published: (2004)

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

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

The investor's advocate : how the SEC protects investors, maintains market integrity, and facilities capital formation /
Published: (2008)

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)

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)

Saving investors money and strengthening the SEC : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, first session on the "Competitive Market Supervision Act" (S. 143) which seeks to reduce excess user fee collections made by the Securities and Exchange Commission (SEC), place SEC funding on a stable basis, and provide for parity of SEC salaries with federal bank regulators, February 14, 2001.
Published: (2002)

Saving investors money and strengthening the SEC : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, first session on the "Competitive Market Supervision Act" (S. 143) which seeks to reduce excess user fee collections made by the Securities and Exchange Commission (SEC), place SEC funding on a stable basis, and provide for parity of SEC salaries with federal bank regulators, February 14, 2001.
Published: (2002)

On-line trading : investor protections have improved but continued attention is needed : report to Congressional requesters /
Published: (2001)

The Insider Trading Sanctions Act of 1983 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, second session, on H.R. 559 ... April 3, 1984.
Published: (1984)

Extension of SEC Institutional Investor Study : hearings before the United States House Committee on Interstate and Foreign Commerce, Subcommittee on Commerce and Finance, Ninety-First Congress, first session, on Sept. 15, 1969.
Published: (1969)

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

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