United States Securities and Exchange Commission
Overview
| Works: | 7,889 works in 11,733 publications in 3 languages and 324,896 library holdings |
|---|---|
| Genres: | Periodicals Trials, litigation, etc Conference papers and proceedings Handbooks and manuals Annual reports Administrative decisions Rules Legislative materials |
| Roles: | Other, Editor, isb, Monitor, Originator |
| 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( )
- Annual report of the Securities and Exchange Commission by United States( )
- The transformation of Wall Street : a history of the Securities and Exchange Commission and modern corporate finance by Joel Seligman( Book )
- SEC accounting practice and procedure by Louis H Rappaport( Book )
- An introduction to the SEC by K. Fred Skousen( 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( )
- Financial services and general government appropriations for fiscal year 2011 : hearings before a subcommittee of the Committee on Appropriations, United States Senate, One Hundred Eleventh Congress, second session, on S. 3677, an act making appropriations for financial services and general government for the fiscal year ending September 30, 2011, and for other purposes : Commodity Futures Trading Commission, Consumer Product Safety Commission, Federal Trade Commission, Office of Personnel Management, Securities and Exchange Commission, United States Postal Service by United States( )
- Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi scheme 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( )
- Spurring job growth through capital formation while protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress by United States( )
- 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( )
- 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( )
- The Securities and Exchange Commission's $500 million fleecing of America : hearing before the Subcommittee on Economic Development, Public Buildings, and Emergency Management of the Committee on Transportation and Infrastructure, House of Representatives, One Hundred Twelfth Congress, first session by United States( )
- The fiscal year 2012 budget for the Securities and Exchange Commission : 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 examining the fiscal year 2012 budget for the Securities and Exchange Commission, March 10, 2011 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( )
- Computerized trading venues : what should the rules of the road be? : 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, second session ... December 18, 2012 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( )
- Nominations of Luis A. Aguilar, Daniel M. Gallagher, Jr., Anthony Frank D'Agostino, and Gregory S. Karawan : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session, on nominations of Luis A. Aguilar, of Georgia, to be a member, Securities and Exchange Commission ; Daniel M. Gallagher, Jr., of Maryland, to be a member, Securities and Exchange Commission ; Anthony Frank D'Agostino, of Maryland, to be a director, Securities Investor Protection Corporation ; Gregory S. Karawan, of Virginia, to be a director, Securities Investor Protection Corporation, June 14, 2011 by United States( )
more
fewer
Most widely held works by
United States
Madoff Ponzi scheme : SEC failure and why(
)
3 editions published in 2010 in English and held by 1,269 WorldCat member libraries worldwide
3 editions published in 2010 in English and held by 1,269 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 1,195 WorldCat member libraries worldwide
in English and held by 1,195 WorldCat member libraries worldwide
SEC news digest by
United States(
)
in English and Undetermined and held by 968 WorldCat member libraries worldwide
Lists documents available from Public Reference Section, Securities and Exchange Commission
in English and Undetermined and held by 968 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 726 WorldCat member libraries worldwide
in English and held by 726 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 665 WorldCat member libraries worldwide
Annotation
3 editions published in 1984 in English and held by 665 WorldCat member libraries worldwide
Annotation
A Study of mutual funds by
Wharton School(
Book
)
23 editions published between 1962 and 1982 in English and held by 612 WorldCat member libraries worldwide
23 editions published between 1962 and 1982 in English and held by 612 WorldCat member libraries worldwide
Worthless stock how to avoid doubling your losses(
)
3 editions published in 2005 in English and held by 546 WorldCat member libraries worldwide
3 editions published in 2005 in English and held by 546 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 held by 496 WorldCat member libraries worldwide
in English and held by 496 WorldCat member libraries worldwide
EDGAR filer manual by
United States(
)
in English and held by 459 WorldCat member libraries worldwide
in English and held by 459 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 429 WorldCat member libraries worldwide
in English and held by 429 WorldCat member libraries worldwide
SEC accounting report by
Thomson Reuters(
)
in English and held by 421 WorldCat member libraries worldwide
in English and held by 421 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 372 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 372 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
SEC and CFTC : most fines collected, but improvements needed in the use of Treasury's collection service by
United States(
)
1 edition published in 2001 in English and held by 369 WorldCat member libraries worldwide
1 edition published in 2001 in English and held by 369 WorldCat member libraries worldwide
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 368 WorldCat member libraries worldwide
1 edition published in 2003 in English and held by 368 WorldCat member libraries worldwide
SEC enforcement : more actions needed to improve oversight of disgorgement collections : report to congressional requesters by
United States(
)
1 edition published in 2002 in English and held by 365 WorldCat member libraries worldwide
1 edition published in 2002 in English and held by 365 WorldCat member libraries worldwide
Securities and Exchange Commission : acceleration of periodic report filing dates and disclosure concerning web site access
to reports by
Kathleen E Wannisky(
)
1 edition published in 2002 in English and held by 364 WorldCat member libraries worldwide
1 edition published in 2002 in English and held by 364 WorldCat member libraries worldwide
Securities and Exchange Commission : actions needed to improve Public Company Accounting Oversight Board selection process by
United States(
)
1 edition published in 2002 in English and held by 364 WorldCat member libraries worldwide
1 edition published in 2002 in English and held by 364 WorldCat member libraries worldwide
Information systems : opportunities exist to strengthen SEC's oversight of capacity and security by
United States(
)
1 edition published in 2001 in English and held by 363 WorldCat member libraries worldwide
1 edition published in 2001 in English and held by 363 WorldCat member libraries worldwide
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fewer
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 Administrative agencies--Reorganization Board of Governors of the Federal Reserve System (U.S.) Capital Commercial crimes Commercial crimes--Prevention Corporations--Accounting--Law and legislation Corporations--Finance Council of Economic Advisers (U.S.) EDGAR (Information retrieval system) Electronic data processing Expenditures, Public Financial Industry Regulatory Authority Financial statements--Law and legislation Fraud Enforcement and Recovery Act of 2009 (United States) Fraud investigation Going public (Securities) Goolsbee, Austan Governmental investigations Hedge funds Information storage and retrieval systems--Securities Job creation 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--Government policy Securities Investor Protection Corporation Small business--Finance Stock exchanges Stock exchanges--Government policy 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
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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
Amerykańska Komisja Papierów Wartościowych i Giełd.
Beikoku Shoken Torihiki Iinkai
Bí-kok chèng-koàn kau-e̍k uí-oân-hōe
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
Komisja Papierów Wartościowych i Giełd Stanów Zjednoczonych.
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)
S.E.CO.
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
U.S. Securities and Exchange Commission agenție guvernamentală americană care supraveghează bursele de valori
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
Ủy ban Giao dịch và Chứng khoán Hoa Kỳ
Verðbréfaeftirlit Bandaríkjanna
Επιτροπή Κεφαλαιαγοράς των ΗΠΑ
Комисия по ценните книжа и борсите
Комиссия по ценным бумагам и биржам государственное учреждение, осуществляющее надзор за фондовыми биржами
Комісія з цінних паперів і бірж США
הוועדה לניירות ערך ולבורסות
هيئة الأوراق المالية والبورصات الأمريكية
کمیسیون بورس و اوراق بهادار آمریکا
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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
美国证券交易委员会 美國政府管理机构
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