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Securities and Exchange Commission : continued management attention would strengthen internal supervisory controls : report to congressional committees.
Subjects: “…United States. Securities and Exchange Commission Management.…”
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2
Securities and Exchange Commission existing post-employment controls could be further strengthened : report to congressional committees.
Subjects: “…United States. Securities and Exchange Commission Personnel management.…”
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3
Securities and Exchange Commission information on Fair Fund collections and distributions /
Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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4
Securities and Exchange Commission action needed to improve rating agency registration program and performance-related disclosures : report to congressional committees.
Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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5
Securities and Exchange Commission oversight of U.S. equities market clearing agencies /
Subjects: “…United States. Securities and Exchange Commission.…”
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6
Securities and Exchange Commission greater attention needed to enhance communication and utilization of resources in the Division of Enforcement : report to congressional requesters.
Subjects: “…United States. Securities and Exchange Commission. Division of Enforcement Rules and practice.…”
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7
Securities and Exchange Commission : improving personnel management is critical for agency's effectiveness : report to congressional committees.
Subjects: “…United States. Securities and Exchange Commission Personnel management.…”
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8
Securities and Exchange Commission : alternative criteria for qualifying as an accredited investor should be considered : report to congressional committees.
Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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9
Securities and Exchange Commission greater attention is needed to enhance communication and utilization of resources in the Division of Enforcement : testimony before the Subcommittee on Securities, Insurance, and Investment, Senate Committee on Banking, Housing, and Urban Affairs /
Subjects: “…United States. Securities and Exchange Commission. Division of Enforcement Rules and practice.…”
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10
Securities and Exchange Commission : documents relating to the Financial Crisis of 2007-2009,
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Securities and Exchange Commission results of fiscal year 2004 financial audit : testimony before the Subcommittee on Federal Financial Management, Government Information, and International Security, Committee on Homeland Security and Governmental Affairs, U.S....
Subjects: “…United States. Securities and Exchange Commission Appropriations and expenditures Auditing.…”
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12
Securities and Exchange Commission : additional guidance needed for assessing staff procedures /
Subjects: “…United States. Securities and Exchange Commission Personnel management.…”
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13
Securities and Exchange Commission some progress made on strategic human capital management : report to the Subcommittee on Government Management, Finance, and Accountability, Committee on Government Reform, House of Representatives.
Subjects: “…United States. Securities and Exchange Commission Personnel management.…”
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14
Securities and Exchange Commission opportunities exist to improve oversight of self-regulatory organizations : report to the Ranking Member, Committee on Finance, U.S....
Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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15
Securities and Exchange Commission results of fiscal year 2004 financial audit : testimony before the Subcommittee on Federal Financial Management, Government Information, and International Security, Committee on Homeland Security and Governmental Affairs, U.S....
Subjects: “…United States. Securities and Exchange Commission Appropriations and expenditures Auditing.…”
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Government Document Online Book -
16
Securities and Exchange Commission additional actions needed to ensure planned improvements address limitations in Enforcement Division operations : report to the Ranking Member, Committee on Finance, U.S....
Subjects: “…United States. Securities and Exchange Commission. Division of Enforcement Rules and practice.…”
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17
Audit of the representation of minorities and women in SEC's workforce /
Published: U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2014Subjects: “…United States. Securities and Exchange Commission Auditing.…”
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18
Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S....
Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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U.S. Securities and Exchange Commission.
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