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

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)

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

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)

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)

Market circuit breakers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on the function of circuit breakers in today's financial markets and the need for reform of their operations, January 29, 1998.
Published: (1999)

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

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

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

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

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

Evaluation of the SEC privacy program.
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)

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)

A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006.
Published: (2007)

A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006.
Published: (2007)

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

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)

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

Execution quality statistics : how to find information on order execution and routing practices /
Published: (2009)

Oversight of the Financial Industry Regulatory Authority.
Published: (2017)

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

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)

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)

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

SEC's oversight of the Securities Investor Protection Corporation's activities.
Published: (2011)

Regulatory perspectives on the Obama administration's financial regulatory reform proposals : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session.
Published: (2010)

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)