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

The roles and responsibilities of inspectors general within financial regulatory agencies : hearing before the Subcommittee on Government Management, Organization, and Procurement of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Eleventh Congress, first session, March 25, 2009.
Published: (2010)

The roles and responsibilities of inspectors general within financial regulatory agencies : hearing before the Subcommittee on Government Management, Organization, and Procurement of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Eleventh Congress, first session, March 25, 2009.
Published: (2010)

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)

Audit of the representation of minorities and women in SEC's workforce /
Published: (2014)

SEC enforcement : responses to GAO and SEC recommendations related to microcap stock fraud : report to congressional committees.
Published: (1999)

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)

SEC compliance : financial reporting and forms /
by: Weinstein, Stanley
Published: (1976)

Material internal control issues reported in SEC's fiscal year 2004 financial statement audit report.
by: Franzel, Jeanette M.
Published: (2005)

Material internal control issues reported in SEC's fiscal year 2004 financial statement audit report.
by: Franzel, Jeanette M.
Published: (2005)

Evaluation of steps taken to address the problem of unpaid arbitration awards /
Published: (2001)

Financial audit : securities and exchange commission's financial statements for fiscal year 2004 : report to the Chairman, U.S. Securities and Exchange Commission /
Published: (2005)

Financial audit : Securities and Exchange Commission's financial statements for fiscal years 2006 and 2005 : report to the Chairman, U.S. Securities and Exchange Commission /
Published: (2006)

Financial audit : Securities and Exchange Commission's financial statements for fiscal years 2005 and 2004 : report to the Chairman, U.S. Securities and Exchange Commission /
Published: (2005)

Financial audit : Securities and Exchange Commission's financial statements for fiscal years 2006 and 2005 : report to the Chairman, United States Securities and Exchange Commission.
Published: (2006)

Assessment of SEC's system and network logs.
Published: (2012)

SEC's controls over sensitive/nonpublic information collected and exchanged with the Financial Stability Oversight Council and Office of Financial Research /
Published: (2013)

Evaluation of the SEC privacy program.
Published: (2010)

Review of the SEC's Section 13(f) reporting requirements.
Published: (2010)

Oversight of the SEC's agenda, operations, and FY 2014 budget request : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 16, 2013.
Published: (2013)

Audit of the SEC's process for reviewing self-regulatory organizations' proposed rule changes.
Published: (2016)

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)

Financial regulation : clearer goals and reporting requirements could enhance efforts by CFTC and SEC to harmonize their regulatory approaches : report to congressional committees.
Published: (2010)

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, second session, May 25, 2006.
Published: (2007)

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, second session, May 3, 2006.
Published: (2006)

Protecting investors and fostering efficient markets : a review of the SEC agenda : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, second session, May 25, 2006.
Published: (2007)

Financial well-being by state : using data from the Financial Industry Regulatory Authority Foundation 2018 National Financial Capability Study.
Published: (2019)

Implementation and Cybersecurity Protocols of the Consolidated Audit Trail.
Published: (2017)

Audit of SEC's Employee Recognition Program and recruitment, relocation, and retention incentives /
Published: (2011)

SEC reauthorization : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, May 19, 1993.
Published: (1993)

Audit of the SECs Filing Fees Program /
Published: (2013)

Audit of NRC's cyber security inspection program for nuclear power plants (OIG-14-A-15) /
Published: (2014)

Audit of the SEC budget execution cycle.
Published: (2011)

Audit of the SEC's management of its data centers.

Continued oversight of the SEC's offices and divisions : 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, second session, April 21, 2016.
Published: (2017)