securities and exchange commission filings
Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf
... Trading and Markets, Compliance Inspections and Examinations, Ethics, General Counsel, Inspector General, and International Affairs Your list should include at least one or two of CF, ENF, and TM ... to the Chairman, and it hires interns each semester The Commission encourages applications because the OIG serves an important mission and because it provides interns with hands-on educations ... to detect fraud, waste, and abuse, and to promote integrity, economy, efficiency and effectiveness The Office of Inspector General has two primary components: audits and investigations Interning...
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Securities and Exchange Commission: Consolidated Audit Trail pptx
... Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions) (“Large Trader Extension”) The Commission ... national securities exchange or automated facility of a national securities association.” 17 CFR 242.600(a)(35) II.C below.8 The commenters included national securities exchanges, a national securities ... efforts by SRO and Commission staff to collect and process detailed trade and order data, often from multiple and varied data sources (e.g., market participants, trading venues, and other SROs)...
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SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx
... realizable and being earned) are usually met by the time product or merchandise is delivered or services are rendered to customers, and revenues from manufacturing and selling activities and gains and ... require a careful analysis of the facts and circumstances of the transaction, as well as an understanding of the rights and obligations of the parties, and the seller's customary business practices ... Registrants and their auditors may wish to consult legal counsel knowledgeable of the local law and customs outside the U.S to determine the seller's rights Delivery and performance a Bill and hold...
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U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx
... 2011 Actual Securities Transaction Fees under the Securities Exchange Act of 1934 (Section 31) Securities Registration Fees under the Securities Act of 1933 (Section 6(b)), and Merger and Tender ... delegations and staffs to exchange views concerning securities matters, such expenses to include necessary logistic and administrative expenses and the expenses of Commission staff and foreign ... analytics and forensics, and the SEC’s response to the Dodd-Frank Act Finally, the additional funding will support training and development related to securities and investor protection, and professional...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part1 pptx
... Reliability Securities and Exchange Commission' s Financial Statements for Fiscal Years 2010 and 2009 Highlights of GAO-11-202, a report to the Chairman, U.S Securities and Exchange Commission ... Dollars Act of 2002, the United States Securities and Exchange Commission (SEC) is required to prepare and submit to Congress and the Office of Management and Budget audited financial statements ... States Securities and Exchange Commission (SEC) as of, and for the fiscal years ending, September 30, 2010, and 2009 The Accountability of Tax Dollars Act of 2002 requires that SEC prepare and submit...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf
... Analysis Management’s Discussion and Analysis Management’s Discussion and Analysis T he U.S Securities and Exchange Commission s (SEC) Management’s Discussion and Analysis (MD&A) serves as a brief ... the Securities Exchange Act of 1934 (Exchange Act) It is headed by a bipartisan five-member Commission, comprised of the Chairman and four Commissioners, who are appointed by the President and ... Chairman and Commissioners are responsible for the review and approval of enforcement cases and formal orders of investigation and the development, consideration, and execution of policies and rules...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx
... price the portfolio securities in five funds and sold shares to investors based on the inflated prices Brookstreet Securities In December 2009, CEO Stanley C Brooks and Brookstreet Securities were ... expanded to include stocks listed in the Russell 1000 and to cover several hundred exchange- traded funds, or ETFs Also in September, the SEC approved new rules submitted by the exchanges and ... among other issues, mandatory clearing, the end-user exception to mandatory clearing and transactional information transparency The SEC and CFTC are also charged with designating and defining new...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx
... and will subsequently disburse The above chart only reflects offsetting collections related to fees collected on Section 31 securities transactions and Section 6(b), 13(e), 14(g), and 24f-2 filings ... and competitive manner, fostering capital formation and useful innovation Cost: $106.1 million The SEC adopts and administers rules and regulations that enable market participants to understand ... establishes and maintains a regulatory environment that promotes high-quality disclosure, financial reporting, and governance, and prevents abusive practices by registrants, financial intermediaries, and...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx
... Years 2010 and 2009 Financial Statements Financial Statements Financial Section T his section of the Performance and Accountability Report contains the U.S Securities and Exchange Commission s ... reports and materiality; • Significant line items, accounts, disclosures, and laws and regulations; • Major classes of transactions; • Relevant assertions, risks of material misstatement and control ... financial statements and on internal control over financial reporting and to report on tests of compliance with selected laws and regulations The OIG conducted 13 audits and reviews during the...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part6 docx
... the SEC fund accounting structure: the Securities and Exchange Commission Investor Protection Fund (Investor Protection Fund) and the Securities and Exchange Commission Reserve Fund (Reserve Fund) ... Years 2010 and 2009 Financial Statements F I N A N C I A L S E C T I O N U.S SECURITIES AND EXCHANGE COMMISSION Statement of Changes in Net Position For the years ended September 30, 2010 and 2009 ... Years 2010 and 2009 Financial Statements F I N A N C I A L S E C T I O N U.S SECURITIES AND EXCHANGE COMMISSION Statement of Budgetary Resources For the years ended September 30, 2010 and 2009...
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auditor independence, accounting firms, and the securities and exchange commission
... Journal, p C1 Securities and Exchange Commission (1997, May 21) SEC and AICPA announce the creation of a new Independence Standards Board (News release No 97-41) Securities and Exchange Commission ... 1500-62) New York: Securities and Exchange Commission Retrieved from http:// www.sec.gov/news/audind.htm Securities and Exchange Commission (2000b, July 12) Proposed rule: Revision of the Commission s ... substantial restrictions on auditors and changes the structure of the development of accounting standards Ironically, the U.S Securities and Exchange Commission (SEC) and the accounting profession debated...
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Tài liệu SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 doc
... comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012, and Government ... Securities and Exchange Board of India (Venture Capital Funds) Regulations, 1996 and pending before it shall be deemed to have been made under the corresponding provisions of Securities and Exchange ... for the benefit of its investors; and (ii) is not covered under the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, Securities and Exchange Board of India (Collective...
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United States Government Accountability Office GAO November 2008 Report to the Chairman, United States Securities and Exchange Commission_part1 potx
... GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Securities and Exchange Commission' s Financial Statements for Fiscal Years 2008 and 2007 Why GAO Did This Study What GAO ... in 1934 to enforce the securities laws and protect investors, the Securities and Exchange Commission (SEC) plays an important role in maintaining the integrity of the U.S securities markets In ... reliable and (2) SEC’s management maintained effective internal control over financial reporting and compliance with laws and regulations GAO also tested SEC’s compliance with selected laws and regulations...
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Tài liệu Front-End and Back-End Server Topology Guide for Microsoft Exchange Server 2003 and Exchange 2000 Server pptx
... Exchange 5.5 Exchange 5.5 Exchange 5.5 Exchange 2000 Exchange 5.5 Exchange 5.5 Exchange 2003 Not supported 12 Exchange 2000 Exchange 5.5 Not supported Exchange 2000 Exchange 2000 Exchange 2000 Exchange ... 2000 Exchange 2003 Not supported Exchange 2003 Exchange 5.5 Not supported Exchange 2003 Exchange 2000 Exchange 2000 Exchange 2003 Exchange 2003 Exchange 2003 The Exchange Server 2003 version and ... Copyright 99 Front-End and Back-End Server Topology Guide for Exchange Server 2003 and Exchange 2000 Server Microsoft® Exchange Server 2003 and Microsoft Exchange 2000 Server support using...
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Tài liệu STOCKS, BONDS, MONEY MARKETS AND EXCHANGE RATES MEASURING INTERNATIONAL FINANCIAL TRANSMISSION docx
... money, bond and equity markets and exchange rates within and between the United States and the euro area We find that asset prices react strongest to other domestic asset price shocks, and that ... the seminal papers by Engle, Ito and Lin (1990) and Andersen and Bollerslev (1998) find strong spillovers in foreign exchange markets, both in conditional first and second moments Finally, a related ... Michael and Marcel Fratzscher (2004c) Exchange rates and fundamentals: new evidence from real-time data, Journal of International Money and Finance, forthcoming Eichengreen, Barry and Andrew Rose...
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