SEC Oversight
| Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
| Publisher | : |
| Total Pages | : 272 |
| Release | : 1986 |
| Genre | : Brokers |
| ISBN | : |
Sec Oversight
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Oversight of the Securities and Exchange Commission's Failure to Identify the Bernard L. Madoff Ponzi Scheme and how to Improve SEC Performance
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | : |
| Total Pages | : 152 |
| Release | : 2010 |
| Genre | : Biography & Autobiography |
| ISBN | : |
SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)
| Author | : H. David Kotz |
| Publisher | : DIANE Publishing |
| Total Pages | : 124 |
| Release | : 2010 |
| Genre | : Business & Economics |
| ISBN | : 1437921752 |
The SEC first incorporated reliance on credit ratings into its rules and regulations in 1975 in connection with how broker-dealers must compute their net capital. In that rule, the SEC specified that a broker-dealer, in computing its net capital, could take a lesser deduction from its net worth as to securities that were rated as having a comparatively low chance of default according to a credit rating of a ¿nationally recognized statistical rating org.¿ (¿NRSRO¿). This report focuses on the implementation of and compliance with the Rating Agency Act and SEC rules. It also assessed the SEC¿s efforts to oversee the NRSROs and to implement the Rating Agency Act¿s accountability, competition, and transparency objectives.
Oversight of the Securities and Exchange Commission and the Securities Industry
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
| Publisher | : |
| Total Pages | : 308 |
| Release | : 1987 |
| Genre | : Insider trading in securities |
| ISBN | : |
Oversight of the U. S. Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges
| Author | : Mary L. Schapiro |
| Publisher | : DIANE Publishing |
| Total Pages | : 20 |
| Release | : 2010-11 |
| Genre | : Political Science |
| ISBN | : 1437936822 |
In 2009, the country was just emerging from an economic crisis that threatened our financial system and the American economy. Since then, the SEC has taken significant steps to make the SEC more vigilant, sharp, and responsive, and focus the agency on its core mission of protecting investors, maintaining fair and orderly markets, and facilitating capital formation. This testimony provides an overview of the actions and initiatives the SEC is taking to better protect investors, improve markets, and facilitate capital formation. It details the changes in personnel, processes and technology that have been made at the Commission. It also discusses the status of the SEC inquiry into the severe market disruption on May 6, 2010. Illustrations.
Oversight of the SEC's Division of Trading and Markets
| Author | : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises |
| Publisher | : |
| Total Pages | : 70 |
| Release | : 2014 |
| Genre | : Securities |
| ISBN | : |
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
| Author | : H. David Kotz |
| Publisher | : DIANE Publishing |
| Total Pages | : 477 |
| Release | : 2010-03 |
| Genre | : Biography & Autobiography |
| ISBN | : 1437921868 |
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
Financial Oversight of Enron
| Author | : United States. Congress. Senate. Committee on Governmental Affairs |
| Publisher | : |
| Total Pages | : 108 |
| Release | : 2002 |
| Genre | : Credit ratings |
| ISBN | : |
Congressional Record
| Author | : United States. Congress |
| Publisher | : |
| Total Pages | : 1324 |
| Release | : 1968 |
| Genre | : Law |
| ISBN | : |
SEC's Oversight of Bear Sterns and Related Entities
| Author | : H. David Kotz |
| Publisher | : DIANE Publishing |
| Total Pages | : 46 |
| Release | : 2010-03 |
| Genre | : Business & Economics |
| ISBN | : 1437921809 |
Details the results of the SEC audit on the Div. of Trading and Market's (TM) Broker-Dealer Risk Assessment program. The purpose of this program is for staff in the TM to assess the risks to registered broker-dealers that may stem from affiliated entities, including holding co. TM tracks the filing status of the 146 broker-dealers that file 17(h) documents with the SEC, but only reviews in detail the filings from six prominent firms because they have a significant number of customer accounts and they are deemed to be material firms. This audit evaluated the SEC¿s CSE program, emphasizing the SEC¿s oversight of Bear Stearns and determined whether improvements are needed in the SEC¿s monitoring of CSE firms and its admin. of the CSE program. Illus.
