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book (19)

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English (19)

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2012 (19)

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Book

Securities regulation : factors that may affect trends in Regulation A offerings : report to congressional committees.
Author: United States.
Year: 2012 Publisher: [Washington, D.C.] : U.S. Govt. Accountability Office,

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Keywords
Securities --- Securities industry --- United States.

Book

Enhanced investor protection after the financial crisis : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... July 12, 2011.
Author: United States.
Year: 2012 Publisher: Washington : U.S. G.P.O.,

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Keywords
Securities --- Stockholders --- Securities industry --- Legal status, laws, etc. --- Risk management

Book

Securities research : additional actions could improve regulatory oversight of analyst conflicts of interest : report to congressional committees.
Author: United States.
Year: 2012 Publisher: [Washington, D.C.] : U.S. Govt. Accountability Office,

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Keywords
Securities industry --- Quantitative analysts --- Conflict of interests --- Research --- Evaluation.

Book

Securities regulation : opportunities exist to improve SEC's oversight of the Financial Industry Regulatory Authority : report to congressional committees.
Author: United States.
Year: 2012 Publisher: [Washington, D.C.] : U.S. Govt. Accountability Office,

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Keywords
Securities industry --- Regulation. --- Financial Industry Regulatory Authority. --- United States. --- Rules and practice.

Book

Hearing to examine the MF Global bankruptcy : hearing before the Committee on Agriculture, House of Representatives, One Hundred Twelfth Congress, first session, December 8, 2011.
Author: United States.
Year: 2012 Publisher: Washington : U.S. G.P.O.,

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Keywords
Securities industry --- Derivative securities --- Business failures --- Accounting --- Corrupt practices --- MF Global Holdings Ltd. --- Accounting --- Corrupt practices.

Book

Investigative hearing on the MF Global bankruptcy : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred Twelfth Congress, first session, December 13, 2011.
Author: United States.
Year: 2012 Publisher: Washington : U.S. G.P.O.,

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Keywords
Securities industry --- Derivative securities --- Business failures --- Accounting --- Corrupt practices --- MF Global Holdings Ltd. --- Corrupt practices.

Book

The SEC's aversion to cost-benefit analysis : hearing before the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Twelfth Congress, second session, April 17, 2012.
Author: United States.
Year: 2012 Publisher: Washington : U.S. Government Printing Office,

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Keywords
Securities industry --- Administrative regulation drafting --- State supervision --- Cost effectiveness. --- United States. --- Rules and practice.

Book

The collapse of MF Global : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session.
Author: United States.
Year: 2012 Publisher: Washington : U.S. G.P.O.,

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Keywords
Securities industry --- Derivative securities --- Business failures --- Accounting --- Corrupt practices --- MF Global Holdings Ltd. --- Corrupt practices.

Book

Hearing to review H.R. 3283, H.R. 1838, and H.R. 4235 : hearing before the Subcommittee on General Farm Commodities and Risk Management of the Committee on Agriculture, House of Representatives, One Hundred Twelfth Congress, second session, March 28, 2012.
Author: United States.
Year: 2012 Publisher: Washington : U.S. G.P.O.,

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Keywords
Swaps (Finance) --- Financial institutions, International --- Securities industry --- Indemnity against liability --- Law and legislation --- Information services

Book

Swap Data Repository and Clearinghouse Indemnification Correction Act of 2012 : report (to accompany H.R. 4235) (including cost estimate of the Congressional Budget Office).
Author: United States.
Year: 2012 Publisher: [Washington, D.C.] : U.S. G.P.O.,

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Keywords
Swaps (Finance) --- Securities industry --- Clearing of securities. --- Indemnity against liability --- Law and legislation --- Information services

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