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Securities fraud -- United States -- States

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• Securities fraud -- United States
• Fraud -- United States -- States
• States

• Securities fraud -- United States -- States -- Prevention

• Securities fraud on the internet : hearings before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Sixth Congress, first session, March 22 and 23, 1999. (U.S. G.P.O. :, 1999), by United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations (page images at HathiTrust)

• The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004. (U.S. G.P.O. :, 2005), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)

Items below (if any) are from related and broader terms.

• Failure of Bevill, Bresler & Schulman, a New Jersey government securities dealer : hearing before a subcommittee of the Committee on Government Operations, House of Representatives, Ninety-ninth Congress, first session, May 15, 1985. (U.S. G.P.O. :, 1985), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (page images at HathiTrust)
• Improper activities in the securities industry hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the Securities and Exchange Commission recent enforcement actions involving allegations of insider trading, market manipulations, fraudulent conduct ... April 22, 1987. (U.S. G.P.O., 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• It's only FAIR returning money to defrauded investors : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, February 26, 2003. (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Lessons learned from Enron's fall (U.S. G.P.O. :, 2003), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• Mutual funds : trading practices and abuses that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, first session, November 3, 2003. (U.S. G.P.O. :, 2004), by the Budget United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management (page images at HathiTrust)
• Mutual funds : who's looking out for investors? : hearings before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, first session, November 4, 6, 2003. (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• The state of the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first session, on the recent initiatives to enhance investor protections in our securities markets, focusing on fund advertising, proxy voting, Sarbanes-Oxley Act requirements, future mutual fund activity, the hedge fund report, and the Canary investigation, September 30, 2003. (U.S. G.P.O. :, 2004), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Hedge funds and independent analysts : how independent are their relationships? : hearing before the Committee on the Judiciary, United States Senate, One Hundred Ninth Congress, second session, June 28, 2006. (U.S. G.P.O. :, 2006), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• Executive compensation : backdating to the future : hearing before the Committee on Finance, United States Senate, One Hundred Ninth Congress, second session, on oversight of current issues regarding executive compensation, including backdating of stock options and tax treatment of executive compensation, retirement, and benefits, September 6, 2006. (U.S. G.P.O. :, 2006), by United States. Congress. Senate. Committee on Finance (page images at HathiTrust)
• Investigation of failure of the Securities and Exchange Commission to uncover Bernard Madoff's Ponzi scheme (U.S. Securities and Exchange Commission, Office of Investigations :, 2009), by United States. Securities and Exchange Commission. Office of Investigations and H. David Kotz (page images at HathiTrust)
• Penny stock market fraud. : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, second session on H.R. 4497, a bill to amend the federal securities laws to eliminate abuses in transactions in penny stocks, and for other purposes. (U.S. G.P.O., 1989), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Financial derivatives : actions needed to protect the financial system : report to Congressional requesters (The Office ;, 1994), by United States General Accounting Office (page images at HathiTrust)
• Review of reports by the U.S. General Accounting Office and the Commodity Futures Trading Commission on derivative products : hearing before the Subcommittee on Environment, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Third Congress, second session, June 14, 1994. (U.S. G.P.O. :, 1994), by Credit United States. Congress. House. Committee on Agriculture. Subcommittee on Environment (page images at HathiTrust)
• Definition of insider trading : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session. (U.S. G.P.O. :, 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Insider Trading Proscriptions Act of 1987 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundredth Congress, first session, on S. 1380 ... December 15, 1987. (U.S. G.P.O. :, 1988), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Improper activities in the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the Securities and Exchange Commission recent enforcement actions involving allegations of insider trading, market manipulations, fraudulent conduct ... April 22, 1987. (U.S. G.P.O. :, 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Securities Investor Protection Act of 1991 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session, on S. 1533 ... October 2, 1991. (U.S. G.P.O. :, 1992), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Abandonment of the private right of action for aiding and abetting securities fraud/staff report on private securities litigation : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, second session, on recent securities law decisions by the U.S. Supreme Court, Central Bank of Denver vs. First Interstate Bank of Denver ... May 12, 1994. (U.S. G.P.O. :, 1994), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Securities litigation abuses : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, first session ... July 24, 1997. (U.S. G.P.O. :, 1998), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Insider Trading Sanctions Act of 1983 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, second session, on H.R. 559 ... April 3, 1984. (U.S. G.P.O., 1984), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Financial Instruments Anti-Fraud Act, S. 1009 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session ... July 17, 1996. (U.S. G.P.O. :, 1996), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Implementation of the Private Securities Litigation Reform Act of 1995 : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, first session, October 21, 1997. (U.S. G.P.O. :, 1998), by United States. Congress. House. Committee on Commerce. Subcommittee on Finance and Hazardous Materials (page images at HathiTrust)
• Organized crime on Wall Street : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, September 13, 2000. (U.S. G.P.O. :, 2000), by United States. Congress. House. Committee on Commerce. Subcommittee on Finance and Hazardous Materials (page images at HathiTrust)
• Failure of ZZZZ Best Co. : hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, second session, January 27 and February 1, 1988. (U.S. G.P.O. :, 1988), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Securities laws enforcement and defense contractors : joint hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce and the Subcommittee on Criminal Justice of the Committee on the Judiciary, House of Representatives, One Hundredth Congress, first session, July 30, 1987 ... October 28, 1987 .... (U.S. G.P.O. :, 1988), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and United States. Congress. House. Committee on the Judiciary. Subcommittee on Criminal Justice (page images at HathiTrust)
• Securities investors legal rights : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, on H.R. 3185, a bill to establish a statute of limitations for private rights of action arising from a violation of the Securities Exchange Act of 1934, November 21, 1991. (U.S. G.P.O. :, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Securities laws enforcement : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, first session, on H.R. 975 ... July 19, 1989. (U.S. G.P.O. :, 1989), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Securities litigation reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, July 22 and August 10, 1994. (U.S. G.P.O. :, 1995), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Federal securities laws and defense contracting : hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, first session, on ... (U.S. G.P.O., 1986), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• SEC and insider trading : hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, December 11, 1986. (U.S. G.P.O. :, 1987), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Liability for Aiding and Abetting Securities Violations Act of 2009 (U.S. G.P.O. :, 2010), by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Crime and Drugs (page images at HathiTrust)
• Mortgage fraud, securities fraud, and the financial meltdown : prosecuting those responsible : hearing before the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second [i.e. first] session, December 9, 2009. (U.S. G.P.O. :, 2010), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• Fraud in the micro-capital markets including penny stock fraud : hearing before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Fifth Congress, first session, September 22, 1997. (U.S. G.P.O. :, 1997), by United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations (page images at HathiTrust)
• Expanding enforcement options -- the securities fraud approach (Dept. of Justice, Law Enforcement Assistance Administration : for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1979), by Joseph C. Long, University of Oklahoma. College of Law, National Center on White-Collar Crime (U.S.), and United States. Law Enforcement Assistance Administration (page images at HathiTrust)
• "Fraud" and civil liability under the federal securities laws (Federal Judicial Center, 1983), by Louis Loss and Federal Judicial Center (page images at HathiTrust)
• The Corporate and Criminal Fraud Accountability Act of 2002 : report together with additional views (including cost estimate of the Congressional Budget Office) (to accompany S. 2010). (U.S. G.P.O., 2002), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• Fraud and abuse in the "Hot issues" and "Penny stock" markets : hearing before the Subcommittee on Securities of the Committeee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, first session, on the efforts of the Securities and Exchange Commission and the National Association of Securities Dealers to protect the investing public from fraud and abuse in the so-called "Penny stocks" and "Hot issues" markets, December 15, 1983--New York, New York. (U.S. G.P.O., 1984), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• HR 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003 (U.S. G.P.O. :, 2003), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Statistics on SEC's enforcement program : report to the Chairman, Subcommittee on Oversight and Investigation, Committee on Energy and Commerce, House of Representatives (The Office, 1985), by United States General Accounting Office (page images at HathiTrust)
• Penny stocks : regulatory actions to reduce potential for fraud and abuse : report to Congressional committees (The Office ;, 1993), by United States General Accounting Office (page images at HathiTrust)
• Securities and Exchange Commission enforcement : responses to GAO and SEC recommendations related to microcap stock fraud (The Office, 1998), by United States General Accounting Office (page images at HathiTrust)
• Action needed to better protect investors from fraud in purchasing privately placed securities : report to the Congress (U.S. General Accounting Office, 1980), by United States General Accounting Office (page images at HathiTrust)
• Hearing to review implications of the CFTC v. Zelener case : hearing before the Subcommittee on General Farm Commodities and Risk Management of the Committee on Agriculture, House of Representatives, One Hundred Eleventh Congress, first session, June 4, 2009. (U.S. G.P.O. :, 2009), by United States. Congress. House. Committee on Agriculture. Subcommittee on General Farm Commodities and Risk Management (page images at HathiTrust)
• Private Securities Litigation Reform Act of 1995 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 240 together with additional views. (U.S. G.P.O., 1995), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• How to avoid internet investment scams (U.S. Securities and Exchange Commission, 2000), by United States Securities and Exchange Commission (page images at HathiTrust)
• Insider Trading Sanctions Act of 1984. (U.S. G.P.O. :, 1984), by United States (page images at HathiTrust)
• Wall Street fraud and fiduciary duties : can jail time serve as an adequate deterrent for willful violations? : hearing before the Subcommittee on Crime and Drugs of the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second session, May 4, 2010 (U.S. G.P.O. :, 2011), by United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Crime and Drugs (page images at HathiTrust)
• Civil actions under S.E.C. laws. (Twentieth Century Press, Inc., 1939), by inc Twentieth century press (page images at HathiTrust; US access only)

More items available under broader and related terms at left.