securities and exchange commission fy 2013 cj in brief
U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx
... Divisions of Trading and Markets, Investment Management, and Corporation Finance are issuing initial comments on these requests on a timely basis FY FY FY FY FY 2011 FY 2011 FY 2012 FY 2013 2007 2008 ... oversight examinations of broker-dealers to test compliance and the quality of examinations by the Financial Industry Regulatory Authority (FINRA) FY FY FY FY FY 2011 FY 2011 FY 2012 FY 2013 Fiscal ... having sufficient resources to keep pace with growth in the industry and the need for examiners to check compliance with evolving regulatory requirements FY FY FY FY FY 2011 FY 2011 FY 2012 FY 2013...
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Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf
... audit and investigations units of the Office Interns working with auditors typically attend interviews, prepare memoranda summarizing those interviews, assist in conducting audit testing, and may ... hands-on experience involving a wide variety of issues and a unique opportunity to obtain exposure to the various divisions and offices of the Commission Students interning in the Office of Inspector ... transcript, and a writing sample to BROInternCoordinator@sec.gov The subject line should include the semester and year that you’re applying, such as “Fall [YEAR] Intern Application” or “Spring [YEAR] Intern...
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Securities and Exchange Commission: Consolidated Audit Trail pptx
... See In the Matter of National Association of Securities Dealers, Inc., Order Instituting Public Proceedings Pursuant to Section 19(h)(1) of the Securities Exchange Act of 1934, Making Findings and ... registrants responding to multiple requests from the Commission and SROs; (2) SROs devoting regulatory resources to obtaining, analyzing, and reporting data requested by the Commission; and (3) Commission ... challenges in obtaining, reconciling, and making effective use of even the limited order and execution data that is available, thereby hindering the conduct of market surveillance, investigation and...
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SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx
... fluctuations in costs incurred by the buyer in purchasing and holding the product (including interest).15 The staff believes that indicators of the latter condition include: (a) the seller provides interest-free ... be incurred in the initial loading of information on the host company's internet server and setting up appropriate links and network connections Question: Assuming these arrangements qualify ... services performed to date In addition, the seller should have a demonstrated history of completing the remaining tasks in a timely manner and reliably estimating the remaining costs If revenue is...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part1 pptx
... States Securities and Exchange Commission In our audits of the United States Securities and Exchange Commission (SEC) for fiscal years 2010 and 2009, we found • the financial statements as of and ... weaknesses involving SEC’s internal control over information systems and its financial reporting and accounting processes GAO’s opinion on SEC’s internal control over financial reporting is consistent ... 2010, and 2009, including the accompanying notes, are presented fairly, in all material respects, in conformity with U.S generally accepted accounting principles; • SEC did not maintain, in all...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf
... complete and accurate information, and to deter fraud and misrepresentation in the public offering, trading, voting, and tendering of securities Trading and Markets Division of Trading and Markets ... minimize the financial risks to investors from fraud, mismanagement, self-dealing, and misleading or incomplete disclosure in the investment company and investment adviser segments of the financial ... accounting and auditing policy and overseeing private sector standards setting; • Office of International Affairs; and • serving investors who contact the SEC, ensuring that retail investors’...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx
... The SEC’s investigation continues JP Morgan In November 2009, J.P Morgan Securities Inc settled charges springing from an unlawful payment scheme that enabled them to win business involving municipal ... Auditing Standards Insider Trading The SEC continues to focus on insider trading – both by individuals and by large-scale institutional traders – through its new Market Abuse Unit Galleon In October ... million in fines to settle charges in separate criminal proceedings by the U.S Department of Justice Strengthening Examinations and Oversight Financial Fraud Financial fraud can cost investors...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx
... Outlays” line on the Statement of Budgetary Resources increased primarily as a result of increases in salaries and benefits In FY 2010, the SEC incurred costs resulting from an increase in staffing ... $1,095 $894 $438 FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 FY 2010 T Total Actual Offsetting Collections New Budgetary Authority CHART 1.7 ASSETS, LIABILITIES, AND NET POSITION ... useful to investment decision making Agency rulemaking and investor education programs are informed by an understanding of the wide range of investor needs Cost: $183.1 million Enhance the Commission s...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx
... tracking investments at the detail level within the financial system and building an automated interface with the Bureau of Public Debt for handling investments In addition, the agency will seek in ... resources, filing fees, disgorgement and penalty transactions, and required supplementary information Financial Reporting This deficiency is similar in nature to the findings from the FY 2009 financial ... both initiate transactions and perform key control functions The FY 2010 assessments of internal controls over financial reporting continued to find errors in the agency’s financial reporting...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part6 docx
... information investors need to make informed investment decisions; and enhancing the Commission s performance through effective alignment and management of human, information, and financial capital ... monies maintained in commercial bank accounts on the business day following the day of deposit J Investments The SEC has the authority to invest disgorgement funds and amounts in the Investor ... investors and promote the public interest by fostering and enforcing compliance with the federal securities laws; establishing an effective regulatory environment; facilitating access to the information...
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auditor independence, accounting firms, and the securities and exchange commission
... rotation and the establishment of an independent funding source for Financial Accounting Standards Board 13 An interesting empirical study by Shafer, Morris, and Ketchand in 1999 examined aspects ... probing Arthur Andersen regarding a conflict of interest with Waste Management, Inc Business Week reported that the SEC was searching for a “smoking gun” to prove its point regarding auditor independence ... consulting services and the role of external auditors in conducting internal audits In negotiating the final rules, the SEC may have taken some comfort in the trend toward divesting of consulting...
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FY 2013 Budget in Brief: Homeland Security pptx
... three interrelated goals: effectively securing U.S air, land, and sea borders; safeguarding and streamlining lawful trade and travel; and disrupting and dismantling transnational criminal and terrorist ... owners and operators in planning and managing security at their facilities while providing examples of successful planning, organizing, coordinating, communicating, operating, and training activities ... effectively securing U.S air, land, and sea borders; safeguarding and streamlining lawful trade and travel; and disrupting and dismantling transnational criminal and terrorist organizations 32 FY 2011...
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Tài liệu SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 doc
... having not less than five years experience in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling and dealing of securities ... regulation and 3A of Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992 in respect of investment in companies listed on SME Exchange or SME segment of an exchange ... regulation and 3A of Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992 in respect of investment in companies listed on SME Exchange or SME segment of an exchange...
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Tài liệu NATIONAL AERONAUTICS AND SPACE ADMINISTRATION FY 2013 PRESIDENT''''S BUDGET REQUEST SUMMARY ppt
... analyzing samples collected in various ways, including scooping up regolith, drilling into rocks and vaporizing some with lasers, and sniffing the atmosphere At the end of 2013, after completing final ... AERONAUTICS AND SPACE ADMINISTRATION FY 2013 PRESIDENT'S BUDGET REQUEST SUMMARY Notional Budget Authority, dollars in millions FY 2011 Actual FY 2012 Estimate FY 2013 Request FY 2014 FY 2015 FY 2016 FY ... AERONAUTICS AND SPACE ADMINISTRATION FY 2013 PRESIDENT'S BUDGET REQUEST SUMMARY Notional Budget Authority, dollars in millions FY 2011 Actual FY 2012 Estimate FY 2013 Request FY 2014 FY 2015 FY 2016 FY...
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FISCAL YEAR 2013 BUDGET IN BRIEF STRENGTHENING HEALTH AND OPPORTUNITY FOR ALL AMERICANS pptx
... AND INNOVATION Biomedical and Behavioral Research: The FY 2013 Budget maintains funding for the NIH at the FY 2012 level of $30.9 billion, reflecting the Administration’s priority to invest in ... Funding is requested in HHS for FY 2013 and will be used to administer HEAL until the point of transfer The funding level for HRSA without HEAL in FY 2013 is $6.074 billion Figures for FY 2011 and ... among clinicians and hospital leaders, provide staff training, and clinical preventive develop standard measurements of infection rates Initial results from the services In FY 2013, central-line...
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Alberta Gaming and Liquor Commission 2010-2013 Business Plan pdf
... Gaming and Liquor Commission 2010 -2013 Business Plan Ensuring gaming and liquor sustainability for Alberta Our vision Ensuring gaming and liquor sustainability for Alberta Our mission Providing ... consumers and communities, and meet the expectations of Albertans A lberta Gaming and Liquor Commission 2010 -2013 Business Plan Ensuring gaming and liquor sustainability for Alberta Goal 4: Maintain ... Investigating all complaints and alleged violations and responding to any potential illegal gambling activities Conducting due diligence investigations including complete criminal and financial...
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United States Government Accountability Office GAO November 2008 Report to the Chairman, United States Securities and Exchange Commission_part1 potx
... Securities and Exchange Commission (SEC) plays an important role in maintaining the integrity of the U.S securities markets In GAO’s opinion, SEC’s fiscal years 2008 and 2007 financial statements ... 2008 FINANCIAL AUDIT Accountability Integrity Reliability Highlights Highlights of GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Securities and Exchange Commission' s ... financial reporting within mandated time frames SEC’s ability to sustain improvements over its financial reporting process remains at risk until SEC fully integrates its subsidiary systems, and...
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