Tài liệu U S Securities and Exchange Commission “We are the investor’s advocate” pdf

Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf

... and for deadlines in the regional offices. The SEC&apos ;s Law Student Observer Program provides exposure to the workings of the Commission and to the regulation of securities and securities ... and establish a working schedule with their supervisors. Although students are not employees of the SEC, they are required to abide by the rules of the Commission& apos ;s Conduct Regulations pertaining ... affiliations outside the classroom that they will have during their internship (including jobs, research assistantships, and other internships) and on a review of the disclosures. For example, it is...

U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx

... violations of the securities laws. As product offerings and fraudsters become more sophisticated, the complexity of enforcement cases increases and requires more resources to achieve a successful outcome. ... investment decisions and assist market participants in fulfilling their disclosure obligations. This measure gauges the demand for disclosure information about municipal securities through the ... stress; (c) analysis of suspicious performance returns posted by hedge fund advisers; (d) analysis of suspicious trading patterns and relationships among multiple traders; (e) analysis of accounting...

Securities and Exchange Commission: Consolidated Audit Trail pptx

... information and analysis from the SROs in response to these requirements, the Commission is furnishing further details about how it envisions regulators would use, access, See Nasdaq Letter ... plan must also discuss the steps the plan sponsors propose to take to seek Commission approval for the elimination of such rules and systems (or components thereof); and a timetable for such ... Commission to oversee today s securities markets and fulfill their responsibilities under the federal securities laws. Rule 613 requires the submission of an NMS plan to create, implement, and...

SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx

... agreement is complete. Customary business practices and processes for documenting sales transactions vary among companies and industries. Business practices and processes may also vary within ... chosen for these costs should be disclosed and applied consistently. Question 4 Facts: Assume the same facts as in Question 2 above. Question: What is the staff&apos ;s view of the ... contractually or implicitly excused until the buyer resells the product or subsequently consumes or uses the product,10 (c) the buyer&apos ;s obligation to the seller would be changed (e.g., the...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part1 pptx

... reporting and SEC s assessment of the same. Our audit satisfies these requirements beginning this fiscal year. See 15 U. S. C. § 78d-8(b)(1), which codifies this requirement. SEC&apos ;s Financial Statements ... Years 2010 and 2009 Why GAO Did This Study Pursuant to the Accountability of Tax Dollars Act of 2002, the United States Securities and Exchange Commission (SEC) is required to prepare and submit ... GAO Report to the Chairman, United States Securities and Exchange Commission FINANCIAL AUDIT Securities and Exchange Commission s Financial Statements for Fiscal Years 2010 and 2009 ...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf

... activities. The General Counsel also defends the Commission in federal district courts, represents the Commission in all appellate matters and amicus curiae  lings, and oversees the SEC s bankruptcy ... This is trial versionwww.adultpdf.com Management s Discussion and Analysis Organizational Structure and Resources The SEC is an independent federal agency established pursuant to the Securities ... AnalysisThe U. S. Securities and Exchange Commission s (SEC) Management s Discussion and Analysis (MD&A) serves as a brief overview of this entire report. It provides a concise description...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx

... approaches and thereafter.Asset-Backed Securities. • The SEC proposed new rules that would signi cantly improve the disclosure and offering process for asset-backed securities. The new rules would ... ciencies. Dodd-Frank also requires the SEC to issue rules requiring any issuer of an asset-backed security to perform a review of the assets underlying the security and to disclose the nature ... comprehensive reg-ulatory framework where none currently exists, Dodd-Frank imposes a number of substantial tasks. The SEC and CFTC must distinguish between swaps and security-based swaps, and...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx

... Management s Discussion and Analysis Performance Results Summary The SEC has established various performance measures for assessing program performance against strategic goals and planned outcomes. ... REPORTMANAGEMENT S DISCUSSION AND ANALYSIS Page 30 GAO-11-202 SEC&apos ;s Financial Statements for Fiscal Years 2010 and 2009 This is trial versionwww.adultpdf.com Management s Discussion and Analysis ... securities laws.FY 2009ActualFY 2010TargetFY 2010ActualFY 2010ResultsMEASURE 5: Percentage of cause and special exams (sweeps) conducted as a result of risk assessment process that includes...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx

... Requests from foreign authorities for SEC assistance and SEC requests for assistance from foreign authorities Number of requests from foreign authorities 408 457 Number of SEC requests 774 ... objectives;Reporting and regulatory requirements; and Existing de ciencies and corrective action plans.• From the results of the risk assessment, SEC management documented business processes and ... REPORTMANAGEMENT S DISCUSSION AND ANALYSIS Page 39 GAO-11-202 SEC&apos ;s Financial Statements for Fiscal Years 2010 and 2009 This is trial versionwww.adultpdf.com Management s Discussion and Analysis...

United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part6 docx

... affect the reported amounts of assets and liabili-ties. These estimates and assumptions include, but are not limited to, the disclosure of contingent assets and liabilities at the date of the ... processes, changes in disgorgements and penalties payable to the Treasury General Fund. Previously, the SEC had presented these receivables as non-custodial assets under the control of the SEC ... follows:General Funds – Salaries and Expenses ● (X0100, 09/10 0100): The TAFS X0100 consists of earmarked funds for use in carrying out the SEC s mission and functions and revenues collected by the SEC...

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