Items related to Securities and Exchange Commission: Programs and Operations
Synopsis
This book: discusses the structure of SEC's inspection program for SROs; evaluates certain aspects of SEC's inspection program; and, describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. This book also includes: investigation planning and information systems; and, oversight of the Fair Fund program. Among other things, GAO analyzed SEC and Enforcement documents and data and interviewed agency officials as well as consultants involved in administering the Fair Fund program. This book features: described OCIE's revisions after 2003 to the examination approach for investment companies and investment advisers; discussed OCIE's compliance with its examination exit procedures; and, described reforms OCIE implemented since January 2006 to enhance, among other things, communication with registrants.
"synopsis" may belong to another edition of this title.
- PublisherNova Science Pub Inc
- Publication date2008
- ISBN 10 1606920456
- ISBN 13 9781606920459
- BindingPaperback
- LanguageEnglish
- Number of pages145
- EditorLarimore James N.
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Securities and Exchange Commission: Programs and Operations: Programs & Operations
Published by
Nova Science Publishers Inc, United States, New York, 2008
ISBN 10: 1606920456
ISBN 13: 9781606920459
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Securities and Exchange Commission : Programs and Operations
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Securities and Exchange Commission
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Securities & Exchange Commission (Paperback)
Published by
Nova Science Publishers Inc, New York, 2008
ISBN 10: 1606920456
ISBN 13: 9781606920459
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Paperback. Condition: new. Paperback. The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role in meeting the agency's responsibility to enforce securities laws and regulations. While Enforcement has brought a number of high-profile cases, questions have been raised over how effectively the division manages its operations and resources. This book: (1) discusses the structure of SEC's inspection program for SROs, (2) evaluates certain aspects of SEC's inspection program, and (3) describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. (4) investigation planning and information systems, (5) oversight of the Fair Fund program. Among other things, GAO analyzed SEC and Enforcement documents and data and interviewed agency officials as well as consultants involved in administering the Fair Fund program. (6) described OCIE's revisions after 2003 to the examination approach for investment companies and investment advisers; (7) discussed OCIE's compliance with its examination exit procedures; and (8) described reforms OCIE implemented since January 2006 to enhance, among other things, communication with registrants. The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role in meeting the agency's responsibility to enforce securities laws and regulations. This book evaluates certain aspects of SEC's inspection program. Shipping may be from multiple locations in the US or from the UK, depending on stock availability. Seller Inventory # 9781606920459
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Securities and Exchange Commission : Programs and Operations
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Securities and Exchange Commission
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Securities &Amp; Exchange Commission : Programs &Amp; Operations
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SECURITIES & EXCHANGE COMMISSION : PROGRAMS & OPERATIONS
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Securities and Exchange Commission
Published by
Nova Science Publishers, Incorporated, 2008
ISBN 10: 1606920456
ISBN 13: 9781606920459
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Securities and Exchange Commission
Published by
Nova Science Publishers Inc, 2008
ISBN 10: 1606920456
ISBN 13: 9781606920459
New
Softcover
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Condition: New. Editor(s): Larimore, James N. Num Pages: 145 pages, Tables & graphs. BIC Classification: KFFM. Category: (P) Professional & Vocational; (UP) Postgraduate, Research & Scholarly; (UU) Undergraduate. Dimension: 232 x 154 x 8. Weight in Grams: 278. . 2008. Paperback. . . . . Seller Inventory # V9781606920459
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