Download or read book Financial Oversight of Enron written by United States. Congress. Senate. Committee on Governmental Affairs and published by . This book was released on 2002 with total page 110 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1986 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC and Corporate Audits written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and published by . This book was released on 1985 with total page 512 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1986 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Oversight and Technical Amendments written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1984 with total page 390 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Oversight of the U S Securities and Exchange Commission Evaluating Present Reforms and Future Challenges written by Mary L. Schapiro and published by DIANE Publishing. This book was released on 2010-11 with total page 20 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book SEC Oversight of Investment Advisers written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1992 with total page 230 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC and corporate audits written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and published by . This book was released on 1985 with total page 1242 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Oversight of the EDGAR System written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and published by . This book was released on 1985 with total page 364 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC s Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations NRSROs written by H. David Kotz and published by DIANE Publishing. This book was released on 2010 with total page 124 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book Mutual funds SEC adjusted its oversight in response to rapid industry growth report to congressional committees written by and published by DIANE Publishing. This book was released on with total page 39 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Reform to Prevent Violations in the Marketing of Government Securities Including Findings and Recommendations of the Subcommittee written by United States. Congress. House. Committee on Ways and Means. Subcommittee on Oversight and published by . This book was released on 1992 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Does the Public Disclosure of the SEC s Oversight Actions Matter written by Miguel Duro and published by . This book was released on 2017 with total page 59 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper studies the effect of the public disclosure of the Securities and Exchange Commission (SEC)'s oversight activity on firms' financial reporting. We exploit a major change in the SEC's disclosure policy: in 2004, the SEC decided to make its comment-letter reviews publicly available. Using a novel dataset of SEC comment letters (CLs), we analyze the capital-market responses to firms' quarterly earnings releases during SEC reviews conducted before and after the policy change. We find that these responses increase significantly following the policy change. Consistent with public disclosure of CLs increasing market discipline, we find that this relative increase is stronger among firms with higher percentages of dedicated institutional investors or independent directors. In contrast, we do not find conclusive evidence that public disclosure of CLs increases SEC oversight intensity. Corroborating these results, we also document a set of changes firms make to their accounting reports during these reviews. Our results indicate that the public disclosure of regulatory oversight activities can enhance the effect of these activities.

Download or read book SEC and Corporate Audits Oversight of the accounting profession written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and published by . This book was released on 1985 with total page 1244 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Securities Industry written by United States. General Accounting Office and published by . This book was released on 1991 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Oversight of Investment Advisers written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1992 with total page 226 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Oversight of the Securities and Exchange Commission and the Securities Industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1987 with total page 300 pages. Available in PDF, EPUB and Kindle. Book excerpt: