Oversight Of The Securities And Exchange Commission And The Securities Industry
Oversight Of The Securities And Exchange Commission And The Securities Industry Book in PDF, ePub and Kindle version is available to download in english. Read online anytime anywhere directly from your device. Click on the download button below to get a free pdf file of Oversight Of The Securities And Exchange Commission And The Securities Industry book. This book definitely worth reading, it is an incredibly well-written.
Oversight of the Securities and Exchange Commission and the Securities Industry by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Pdf
Author : United States. General Accounting Office Publisher : Unknown Page : 16 pages File Size : 48,5 Mb Release : 1992 Category : Information services industry ISBN : SRLF:D0007730161
Author : Anne M Khademian Publisher : University of Pittsburgh Pre Page : 293 pages File Size : 46,5 Mb Release : 1992-11-15 Category : Political Science ISBN : 9780822976899
The SEC and Capital Market Regulation by Anne M Khademian Pdf
Anne M. Khademian addresses the significance of the SEC for securities policy and uses the agency as a model for the study of bureaucracy and bureaucratic theory. She examines the interaction of bureaucrats, politicians and the White House, and connects early debates in the field of public administration with the contemporary arguments of rational choice scholars concerning independence. The classic tension within U.S. federal agencies is between the need to hold bureaucrats politically accountable to elected officials and the need to delegate complex decision making to officials with "independent" expertise. In the SEC this tension is especially pronounced because of the agency's dependence on attorneys and economists. Khademian traces the development of a regulatory strategy from the creation of the SEC by FDR in 1934 to the present, examines the roles of SEC experts and their political overseers in Congress as they create policy, and evaluates the stability of that policy. Her study reveals how the tug-of-war between demands for accountability and giving freedom to expertise has affected the agency's evolution and its regulatory activities.
Securities Industry Study: Self-regulation in the securities industry by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Pdf
Study of the Securities Industry by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance Pdf
Securities and Exchange Commission by United States Government Accountability Office Pdf
Self-regulatory organizations (SRO) are exchanges and associations that operate and govern the markets, and that are subject to oversight by the Securities and Exchange Commission (SEC). Among other things, SROs monitor the markets, investigate and discipline members involved in improper trading, and make referrals to SEC regarding suspicious trades by nonmembers. For industry self-regulation to function effectively, SEC must ensure that SROs are fulfilling their regulatory responsibilities. This report (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. To address these objectives, GAO reviewed SEC inspection workpapers, analyzed SEC data on SRO referrals and related investigations, and interviewed SEC and SRO officials.
The Transformation of Wall Street by Joel Seligman Pdf
"In this updated volume, Joel Seligman draws on unpublished SEC files and extensive personal interviews to provide a comprehensive examination of the origins, accomplishments, and failings of the SEC and its leaders, from the agency's creation in 1934 to the present, including significant developments in securities regulation through the early 1990s."--BOOK JACKET.Title Summary field provided by Blackwell North America, Inc. All Rights Reserved