United States Securities and Exchange Commission
Overview
| Works: | 7,662 works in 11,005 publications in 3 languages and 302,652 library holdings |
|---|---|
| Genres: | Periodicals Trials, litigation, etc Conference papers and proceedings Handbooks and manuals Annual reports Administrative decisions Rules Digests Statutes and codes Legislative materials |
| Roles: | Other, Editor, isb, Originator, Monitor |
| Classifications: | HG4556.U5, 332.630973 |
Publication Timeline
.
Most widely held works about
United States
- No one would listen : a true financial thriller by Harry Markopolos( )
- The transformation of Wall Street : a history of the Securities and Exchange Commission and modern corporate finance by Joel Seligman( Book )
- Annual report of the Securities and Exchange Commission by United States( )
- SEC accounting practice and procedure by Louis H Rappaport( Book )
- An introduction to the SEC by K. Fred Skousen( Book )
- Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi scheme by United States( Book )
- Selling America short : the SEC and market contrarians in the age of absurdity by Richard Sauer( )
- Investigating and prosecuting financial fraud after the Fraud Enforcement and Recovery Act : hearing before the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second session, September 22, 2010 by United States( )
- The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009 by United States( )
- Securities, exchanges, and the SEC by Poyntz Tyler( Book )
- Nominations of Mary Schapiro, Christina D. Romer, Austan D. Goolsbee, Cecilia E. Rouse, and Daniel K. Tarullo : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on nominations of Mary Schapiro, of New York, chairman-designate, Securities and Exchange Commission ; Christina D. Romer, of California, chairman-designate, Council of Economic Advisors ; Austan D. Goolsbee, of Illinois, member-designate, Council of Economic Advisors ; Cecilia E. Rouse, of New Jersey, member-designate, Council of Economic Advisors ; Daniel K. Tarullo, of Maryland, member-designate, Board of Governors of the Federal Reserve System, January 15, 2009 by United States( )
- SEC oversight : current state and agenda : 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 Eleventh Congress, first session, July 14, 2009 by United States( )
- The SEC and the public interest by Susan M Phillips( Book )
- Oversight of the U.S. Securities and Exchange Commission : evaluating present reforms and future challenges : 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 Eleventh Congress, second session, July 20, 2010 by United States( )
- Legislative proposals to address concerns over the SEC's new confidentiality provision : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 16, 2010 by United States( )
- Oversight of the U.S. Securities and Exchange Commission's operations, activities, challenges, and FY 2012 budget request : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, March 10, 2010 by United States( )
- Management and structural reforms at the Securities and Exchange Commission : a progress report : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session, on a progress report on the management and structural reforms at the SEC, November 16, 2011 by United States( )
- Eagle on the Street : based on the Pulitzer Prize-winning account of the SEC's battle with Wall Street by David A Vise( Book )
- Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011 by United States( )
- Potential conflicts of interest at the SEC : the Becker case : joint hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services and the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 22, 2011 by United States( )
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Most widely held works by
United States
Madoff Ponzi scheme : SEC failure and why(
)
3 editions published in 2010 in English and held by 1,249 WorldCat member libraries worldwide
3 editions published in 2010 in English and held by 1,249 WorldCat member libraries worldwide
SEC docket : a weekly compilation of releases from the Securities and Exchange Commission by
United States(
)
in English and held by 1,146 WorldCat member libraries worldwide
in English and held by 1,146 WorldCat member libraries worldwide
SEC news digest by
United States(
)
in English and Undetermined and held by 892 WorldCat member libraries worldwide
Lists documents available from Public Reference Section, Securities and Exchange Commission
in English and Undetermined and held by 892 WorldCat member libraries worldwide
Lists documents available from Public Reference Section, Securities and Exchange Commission
Decisions and reports by
United States(
)
in English and held by 723 WorldCat member libraries worldwide
in English and held by 723 WorldCat member libraries worldwide
Wayward capitalists : target of the Securities and Exchange Commission by
Susan P Shapiro(
Book
)
3 editions published in 1984 in English and held by 679 WorldCat member libraries worldwide
Annotation
3 editions published in 1984 in English and held by 679 WorldCat member libraries worldwide
Annotation
A Study of mutual funds by
Wharton School(
Book
)
22 editions published between 1962 and 1982 in English and held by 599 WorldCat member libraries worldwide
22 editions published between 1962 and 1982 in English and held by 599 WorldCat member libraries worldwide
Worthless stock how to avoid doubling your losses(
)
3 editions published in 2005 in English and held by 536 WorldCat member libraries worldwide
3 editions published in 2005 in English and held by 536 WorldCat member libraries worldwide
Report on the role and function of credit rating agencies in the operation of the securities markets : as required by Section
702(b) of the Sarbanes-Oxley Act of 2002 by
United States(
)
5 editions published between 2003 and 2004 in English and held by 459 WorldCat member libraries worldwide
5 editions published between 2003 and 2004 in English and held by 459 WorldCat member libraries worldwide
EDGAR filer manual by
United States(
)
in English and held by 421 WorldCat member libraries worldwide
in English and held by 421 WorldCat member libraries worldwide
Final report of the SEC Government-Business Forum on Small Business Capital Formation by SEC Government-Business Forum on Small Business Capital Formation(
)
in English and held by 408 WorldCat member libraries worldwide
in English and held by 408 WorldCat member libraries worldwide
SEC accounting report by
Thomson Reuters(
)
in English and held by 399 WorldCat member libraries worldwide
in English and held by 399 WorldCat member libraries worldwide
Official summary of security transactions and holdings reported to the Securities and Exchange Commission under the Securities
Exchange Act of 1934 and the Public Utility Holding Company Act of 1935(
)
in English and held by 368 WorldCat member libraries worldwide
in English and held by 368 WorldCat member libraries worldwide
U.S. Securities and Exchange Commission(
)
in English and held by 353 WorldCat member libraries worldwide
EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC). Its primary purpose is to increase the efficiency and fairness of the securities market for the benefit of investors, corporations, and the economy by accelerating the receipt, acceptance, dissemination, and analysis of time-sensitive corporate information filed with the agency
in English and held by 353 WorldCat member libraries worldwide
EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC). Its primary purpose is to increase the efficiency and fairness of the securities market for the benefit of investors, corporations, and the economy by accelerating the receipt, acceptance, dissemination, and analysis of time-sensitive corporate information filed with the agency
Internationalization of the securities markets : report of the staff of the U.S. Securities and Exchange Commission to the
Senate Committee on Banking, Housing and Urban Affairs and the House Committee on Energy and Commerce by
United States(
Book
)
7 editions published between 1987 and 1988 in English and held by 341 WorldCat member libraries worldwide
7 editions published between 1987 and 1988 in English and held by 341 WorldCat member libraries worldwide
Judicial decisions : comprising all court decisions, reported and unreported, in civil and criminal cases involving statutes
administered by the Securities and Exchange Commission by
United States(
)
in English and Undetermined and held by 340 WorldCat member libraries worldwide
in English and Undetermined and held by 340 WorldCat member libraries worldwide
Federal utility regulation, annotated(
)
3 editions published in 1942 in English and held by 340 WorldCat member libraries worldwide
3 editions published in 1942 in English and held by 340 WorldCat member libraries worldwide
Information security, SEC needs to improve controls over financial systems and data : report to the Chair, U.S. Securities
and Exchange Commission by
United States(
)
1 edition published in 2014 in English and held by 339 WorldCat member libraries worldwide
SEC is responsible for enforcing securities laws, issuing rules and regulations that protect investors, and helping to ensure that securities markets are fair and honest. In carrying out its mission, the commission relies extensively on computerized systems that collect and process financial and sensitive information. Accordingly, it is essential that SEC have effective information security controls in place to protect this information from misuse, fraudulent use, improper disclosure, manipulation, or destruction. As part of its audit of SEC's fiscal years 2013 and 2012 financial statements, GAO assessed the commission's information security controls. The objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability of SEC's key financial systems and information. To do this, GAO assessed security controls in key areas by reviewing SEC documents, testing selected systems, and interviewing relevant officials. GAO is recommending that SEC take two actions to (1) more effectively oversee contractors performing security-related tasks and (2) improve risk management. In a separate report for limited distribution, GAO is recommending that SEC take 49 specific actions to address weaknesses in security controls
1 edition published in 2014 in English and held by 339 WorldCat member libraries worldwide
SEC is responsible for enforcing securities laws, issuing rules and regulations that protect investors, and helping to ensure that securities markets are fair and honest. In carrying out its mission, the commission relies extensively on computerized systems that collect and process financial and sensitive information. Accordingly, it is essential that SEC have effective information security controls in place to protect this information from misuse, fraudulent use, improper disclosure, manipulation, or destruction. As part of its audit of SEC's fiscal years 2013 and 2012 financial statements, GAO assessed the commission's information security controls. The objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability of SEC's key financial systems and information. To do this, GAO assessed security controls in key areas by reviewing SEC documents, testing selected systems, and interviewing relevant officials. GAO is recommending that SEC take two actions to (1) more effectively oversee contractors performing security-related tasks and (2) improve risk management. In a separate report for limited distribution, GAO is recommending that SEC take 49 specific actions to address weaknesses in security controls
Securities and Exchange Commission : disclosure of proxy voting policies and proxy voting records by registered management
investment companies by
Kathleen E Wannisky(
)
1 edition published in 2003 in English and held by 336 WorldCat member libraries worldwide
1 edition published in 2003 in English and held by 336 WorldCat member libraries worldwide
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Audience Level
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Related Identities
- United States Congress Senate Committee on Banking, Housing, and Urban Affairs
- United States Congress House Committee on Financial Services
- United States Government Accountability Office
- United States General Accounting Office
- Practising Law Institute
- United States Commodity Futures Trading Commission
- United States Securities and Exchange Commission Office of Audits
- Madoff, Bernard L.
- United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities
- Board of Governors of the Federal Reserve System (U.S.)
Useful Links
Associated Subjects
Accounting--Law and legislation Board of Governors of the Federal Reserve System (U.S.) Capital Commercial crimes Commercial crimes--Prevention Corporations Corporations--Accounting--Law and legislation Corporations--Finance Council of Economic Advisers (U.S.) EDGAR (Information retrieval system) Electronic data processing Employees Expenditures, Public Financial Industry Regulatory Authority Financial statements--Law and legislation Fraud Enforcement and Recovery Act of 2009 (United States) Fraud investigation Freedom of information Goolsbee, Austan Governmental investigations Government information--Access control Hedge funds Information storage and retrieval systems--Securities Law enforcement Madoff, Bernard L Management Mutual funds Mutual funds--Government policy Parliamentary practice Ponzi schemes Romer, Christina Rouse, Cecilia Elena Schapiro, Mary L., Securities Securities--Data processing Securities fraud Securities fraud--Prevention Securities--Government policy Securities industry--Corrupt practices Securities Investor Protection Corporation Small business--Finance Stock exchanges Stock exchanges--Law and legislation Tarullo, Daniel K United States United States.--Department of Justice United States.--Federal Bureau of Investigation United States.--Securities and Exchange Commission Venture capital White collar crime investigation
Covers
Alternative Names
ABŞ Qiymətli Kağızlar və Mübadilə Komissiyası
Amerika Birleşik Devletleri Menkul Kıymetler ve Borsa Komisyonu
Amerika Gasshukoku Shoken Torihiki Iinkai
Amerika Gasshukoku Shoken Torihikijo Iinkai
Amerikai Értékpapír- és Tőzsdefelügyelet amerikai állami ügynökség
Beikoku Shoken Torihiki Iinkai
Comisiwn Gwarantau a Chyfnewid yr Unol Daleithiau
Comissão de Títulos e Câmbio dos Estados Unidos
Comissió de Borsa i Valors
Estats Units d'Amèrica. Securities & Exchange Commission
Jungtinės Valstijos Securities and Exchange Commission
Komise pro kontrolu cenných papírů Spojených států vládní agentura USA
Komisija za vrijednosnice i burzu
S.E.C.
S.E.C.(About)
S.E.C. (Agency)
S.E.C.O.
S.E.C.O. (Agency)
S.E.C.O. (Securities and Exchange Commission)
S.E.C. (Securities and Exchange Commission)
SEC
SEC (Agency)
SEC Rulemaking
SEC (Securities and Exchange Commission)
SECO
SECO (Agency)
SECO (Securities and Exchange Commission)
Securities & Exchange Commission
Securities and Exchange Commission
Securities and Exchange Commission agence fédérale indépendante des États-Unis
Securities and Exchange Commission (Estados Unidos)
Securities and Exchange Commission (Estats Units d'Amèrica)
Securities and exchange commission (États-Unis)
Securities and Exchange Commission (U.S.)
Securities and Exchange Commission United States
Securities and Exchange Commission (V.S.)
Spojené státy americké Komise pro cenné papíry a burzy
Suruhanjaya Sekuriti dan Bursa Amerika Syarikat
U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Agencia independiente del gobierno de Estados Unidos
United States Securities & Exchange Commission
United States Securities and Exchange Commission
United States Securities and Exchange Commission amerykańska komisja papierów wartościowych i giełdy
United States Securities and Exchange Commission US-amerikanische Börsenaufsichtsbehörde
United States Secutiries & Exchange Commission
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Комисия по ценните книжа и борсите
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Комісія з цінних паперів і бірж США
הוועדה לניירות ערך ולבורסות
هيئة الأوراق المالية والبورصات الأمريكية
کمیسیون بورس و اوراق بهادار آمریکا
미국 증권거래위원회
アメリカ ガッシュウコク ショウケン トリヒキ イインカイ
アメリカ ガッシュウコク ショウケン トリヒキジョ イインカイ
アメリカ合衆国. 証券取引委員会
アメリカ合衆国証券取引所委員会
アメリカ証券取引委員会
ベイコク ショウケン トリヒキ イインカイ
米国証券取引委員会
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