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United States. Securities and Exchange Commission -- Finance

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• United States. Securities and Exchange Commission
• Finance

• Fees collected under the Securities Act of 1933 and the Securities Exchange Act of 1934 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, first session ... March 24, 1999. (U.S. G.P.O. :, 2000), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Fees collected under the Securities Act of 1933 and the Securities Exchange Act of 1934 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, first session ... March 24, 1999. (U.S. G.P.O. :, 2000), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Competitive Market Supervision Act, S. 2107 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on S. 2107, to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to reduce securities fees in excess of those required to fund the operations of the Securities and Exchange Commission, to adjust compensation provisions for employees of the Commission, and for other purposes, February 28, 2000. (U.S. G.P.O. :, 2001), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Competitive Market Supervision Act : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2107, together with additional views. (U.S. G.P.O., 2000), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Competitive Market Supervision Act of 2001 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 143. (U.S. G.P.O., 2001), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Competitive Market Supervision Act, S. 2107 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on S. 2107, to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to reduce securities fees in excess of those required to fund the operations of the Securities and Exchange Commission, to adjust compensation provisions for employees of the Commission, and for other purposes, February 28, 2000. (U.S. G.P.O. :, 2001), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)

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

• Investment Banking Under the Securities and Exchange Commission (Michigan Business Studies v9 #3; 1940), by T. Kenneth Haven (page images at HathiTrust)
• Laws relating to Securities Commission, exchanges and holding companies. (U.S. Government Printing Office; for sale by the Supt. of Docs., U.S. Govt. Print. Off., in the 20th century), by United States (page images at HathiTrust)
• Activities of the Securities and Exchange Commission and the Post Office Department in Florida : (Washington, D.C. : United States Government Printing Office, 1946-1947., 1946), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• What the businessman should know about Federal regulation of securities. (Public Affairs Press, 1958), by Sidney Willner (page images at HathiTrust)
• Reorganization plans nos. 1, 2, 3, and 4 of 1961: plan 1, Securities and Exchange Commission; plan 2, Federal Communications Commission; plan 3, Civil Aeronautics Board; plan 4, Federal Trade Commission. (U. S. Govt. Print. Off., 1961), by United States House Committee on Government Operations (page images at HathiTrust)
• A reply to the Securities and exchange commission. (Investment bankers association of America, 1940), by Emmett Francis Connely and Investment Bankers Association of America (page images at HathiTrust)
• Clarify jurisdiction of SEC and definition of security hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, Ninety-seventh Congress, second session, on H.R. 6156, July 15, 1982. (U.S. G.P.O., 1982), by Credit United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation (page images at HathiTrust)
• Securities laws and corporate disclosure regulations hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, February 8, 1982. (U.S. G.P.O., 1982), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• SEC/CFTC jurisdictional issues and oversight hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance and the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, on H.R. 5447 ... H.R. 5515 ... H.R. 6156 .... (U.S. G.P.O., 1982), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Securities--commodities accord amendments of 1982 hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-seventh Congress, second session on S. 2260 ... March 31, 1982. (U.S. G.P.O., 1982), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• SEC and Citicorp hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, September 13 and 17, 1982. (U.S.G.P.O., 1983), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (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)
• Oversight of the Securities and Exchange Commission and the securities industry hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the proper roles of government and of self-regulation in light of the shift in policy focus of the SEC in the past few years, February 24, 1987. (U.S. G.P.O., 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Investment advisers act amendments hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session , on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976. (U. S. Govt. Print. Off., 1976), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance (page images at HathiTrust)
• Reform and self-regulation efforts of the accounting profession hearings before the Subcommittee on Oversight and Investigations of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fifth Congress, second session ... (U.S. Govt. Print. Off., 1978) (page images at HathiTrust)
• National market system five year status report : report together with separate views (U.S. G.P.O., 1980), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Legislative oversight of SEC: inquiry into withholding and transfer of agency files pertaining to ITT hearing, Ninety-second Congress, second session ... December 14, 1972. (U.S. Govt. Print. Off., 1973), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations (page images at HathiTrust)
• Securities exchange act amendments of 1973 hearings, Ninety-third Congress, first session, on H.R. 5050 and H.R. 340... (U.S. Govt. Print. Off., 1974), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance (page images at HathiTrust)
• Legislative oversight of SEC: agency independence and the ITT case hearings, Ninety-third Congress, first session ... (U.S. Govt. Print. Off., 1974), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations (page images at HathiTrust)
• SEC authority over third market trading hearing, Ninety-third Congress, second session, on S. 3126 .. (U.S. Govt. Print. Off., 1974), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Laws relating to Securities Commission exchanges and holding companies, with indices (U.S. Govt. Print. Off., 1976), by United States and Gilman G Udell (page images at HathiTrust)
• Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992. (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)
• An introduction to securities regulation. (Twentieth Century Press, 1958), by Allen D. Choka (page images at HathiTrust)
• Emergency Securities Response Act of 2003 : report (to accompany H.R. 657) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2003), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Review of current investigations and regulatory actions regarding the mutual fund industry : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first and second session, on investigations and regulatory actions regarding the mutual fund industry and investors' protection, November 18, 20, 2003, February 25, 26, March 2, 10, 23, 31, and April 8, 2004. (U.S. G.P.O. :, 2004), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• SEC's need for statutory authority (U.S. G.P.O. :, 2005), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (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)
• Regulation NMS and developments in market structures : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on examination of regulation of the national market system and developments in market structure, focusing on proposals to modernize the national market system to improve the regulatory structure of U.S. equity markets, July 21 and 22, 2004. (U.S. G.P.O. :, 2006), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Overview of the regulation of the bond markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on the regulation of the bond markets, focusing on fixed income market transparency, Trade Reporting and Compliance Engine (TRACE) enabling investors to access current price information for U.S. corporate bonds, and state, local, and Internal Revenue Service regulations of municipal issuers, June 17, 2004. (U.S. G.P.O. :, 2006), by Housing United States. Congress. Senate. Committee on Banking (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 Ninth Congress, first session, on the examination of the state of the securities industry, focusing on recent initiatives regarding market structure, credit rating agencies, mutual funds, and the implementation of the Sarbanes-Oxley requirements, March 9, 2005. (U.S. G.P.O. :, 2006), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Review of the SEC agenda (U.S. G.P.O. :, 2006), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Review of the SEC agenda (U.S. G.P.O. :, 2007), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• The investor and the Securities act (American Council on Public Affairs, 1942), by Homer Virgil Cherrington and American Council on Public Affairs (page images at HathiTrust)
• SEC responses to the Treadway Commission report : a study prepared for the use of the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, U.S. House of Representatives. (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)
• Accounting requirements of the Securities and exchange commission for the preparation of financial statements (The Ronald press company, 1939), by Benjamin Bernard Greidinger (page images at HathiTrust)
• Issues related to the jurisdiction of the Commodity Futures Trading Commission and the Securities and Exchange Commission : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred First Congress, second session ... May 8, 1990. (U.S. G.P.O. :, 1990), by United States Senate Committee on Agriculture, Nutrition, and Forestry (page images at HathiTrust)
• Clarify jurisdiction of SEC and definition of security : hearing before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, Ninety-seventh Congress, second session, on H.R. 6156, July 15, 1982. (U.S. G.P.O., 1982), by Credit United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation (page images at HathiTrust)
• SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 14, 2009. (U.S. G.P.O. :, 2009), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (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)
• The Securities Law Enforcement Remedies Act of 1989 : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, second session on S. 647 ... February 1 and 8, 1990. (U.S. G.P.O. :, 1990), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The SEC/CFTC jurisdiction and margin : joint hearings before the Subcommittee on Securities and the Committee on Banking, Housing, and Urban Affairs, United States Senate, one hundred first Congress, second session ... March 29, July 11, 12, and 24, 1990. (U.S. G.P.O. :, 1991), by Housing United States. Congress. Senate. Committee on Banking and Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Limited Partnership Rollup Reform Act of 1993--S. 424 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session, on S. 424, to amend the Securities Exchange Act of 1934 with respect to limited partnership rollups, April 20, 1993. (U.S. G.P.O. :, 1993), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The Small Business Incentive Act of 1992 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session ... March 26, 1992. (U.S. G.P.O. :, 1992), 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)
• Lost security holders : reuniting security holders with their investments : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, October 4, 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)
• Financial market regulatory reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, first and second sessions. (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 reporting practices : hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, first session, July 10, 22, and 27, 1987. (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)
• SEC's study on self-funding : hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, second session, December 20, 1988. (U.S. G.P.O. :, 1989), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Consolidating the administration and enforcement of the federal securities laws within the Securities and Exchange Commission : a report (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)
• SEC corporate audits : hearings before the Subcommittee on Oversight and Investigations and the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, first session on ... (U.S. G.P.O., 1985), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations and United States House. Committee on Energy and Commerce (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)
• Stock market reform : hearings 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. 1609, a bill to amend the Securities Exchange Act of 1934 to provide additional authorities to prevent disruptions to the Nation's securities markets, July 27, September 28, October 25, and November 9, 1989. (U.S. G.P.O. :, 1990), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Financial services industry : 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. 3054, H.R. 4441, and H.R. 5777, bills to provide for self-regulation and to improve the disclosure to customers of investment advisers, and to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, July 11, 1990 Financial Services Industry Oversight .... (U.S. G.P.O. :, 1991), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993. (U.S. G.P.O. :, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• SEC oversight and technical amendments : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, second session, on H.R. 4574 ... February 23, 1984. (U.S. G.P.O., 1984), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications (page images at HathiTrust)
• SEC oversight : hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, on SEC oversight, authorization, and other matters--H.R. 1602, H.R. 1603, and H.R. 1604, March 21, 1985, SEC oversight, March 5, 1986. (U.S. G.P.O. :, 1986), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications (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)
• SEC, oversight of the EDGAR system : hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, first session, March 14, 1985. (U.S. G.P.O., 1985), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Problems with the SEC's enforcement of U.S. securities laws in cases involving suspicious trades originating from abroad : hearing before a subcommittee of the Committee on Government Operations, House of Representatives, One Hundredth Congress, second session, June 8, 1988. (U.S. G.P.O. :, 1988), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (page images at HathiTrust)
• The SEC and the issue of runaway executive pay : hearing before the Subcommittee on Oversight of Government Management of the Committee on Governmental Affairs, United States Senate, One Hundred Second Congress, first session, May 15, 1991. (U.S. G.P.O. :, 1991), by United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Oversight of Government Management (page images at HathiTrust)
• Turmoil in the US credit markets (U.S. G.P.O. :, 2010), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Turmoil in US credit markets (U.S. G.P.O. :, 2010), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Securities exchange act amendments of 1973. Hearings, Ninety-third Congress, first session, on H.R. 5050 and H.R. 340... (U.S. Govt. Print. Off., 1974), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance (page images at HathiTrust)
• Annual report of the Securities and Exchange Commission. (The Commission :, 1934), by United States Securities and Exchange Commission (page images at HathiTrust)
• SEC registration fees : hearing ... Eighty-ninth Congress, first session, on S. 1707, a bill to amend Section 6 (b) of the Securities Act of 1933, September 22, 1965. (U.S. Govt. Print. Off., 1965), by United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities (page images at HathiTrust)
• Laws relating to Securities Commission, exchanges, and holding companies, with indices. (U.S. Govt. Print. Off., 1968), by United States and Gilman G Udell (page images at HathiTrust)
• Federal securities act handbook. (Joint Committee on Continuing Legal Education of the American Law Institute and the American Bar Association, 1960), by Eliot B. Thomas and Joint Committee on Continuing Legal Education (U.S.) (page images at HathiTrust)
• Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000. (U.S. G.P.O. :, 2001), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The SEC's proposed auditor independence rules : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the proposal by the Securities and Exchange Commission (SEC) to promulgate regulations that would restrict the types of nonaudit services that accountants may provide to their audit clients, Thursday, September 28, 2000. (U.S. G.P.O. :, 2002), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Saving investors money and strengthening the SEC : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, first session on the "Competitive Market Supervision Act" (S. 143) which seeks to reduce excess user fee collections made by the Securities and Exchange Commission (SEC), place SEC funding on a stable basis, and provide for parity of SEC salaries with federal bank regulators, February 14, 2001. (U.S. G.P.O. :, 2002), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Laws relating to securities commission, exchanges and holding companies. (U.S. Govt. print. off., 1935), by United States and Elmer A. Lewis (page images at HathiTrust; US access only)
• Laws relating to Securities Commission, exchanges, and holding companies : with indices (U.S. Govt. Print. Off., 1964), by United States and Gilman G. Udell (page images at HathiTrust)
• Study of the Securities and Exchange Commission, Eighty-second Congress : final report of the Securities and Exchange Commission Subcommittee to the Committee on Interstate and Foreign Commerce : pursuant to resolution of the Committee on Interstate and Foreign Commerce dated August 22, 1951 (U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• SEC legislation : hearings before a subcommittee ... Eighty-sixth Congress, first session, on S. 1178, S. 1179, S. 1180, S. 1181, and S. 1182, bills to amend the Securities Act of 1933, the Securitiies Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. June 15-18, 23-25, 1959. (U.S. Govt. Print. Off., 1959), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
• The work of the SEC. (U.S. Securities and Exchange Commission, Office of Public Affairs, 1992), by United States Securities and Exchange Commission and United States. Securities and Exchange Commission. Office of Public Affairs (page images at HathiTrust)
• Emergency Securities Response Act of 2001 : report (to accompany H.R. 3060) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2001), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Corporate and Auditing Accountability, Responsibility, and Transparency Act of 2002 : report together with minority, additional, and dissenting views (to accompany H.R. 3763). (U.S. G.P.O., 2002), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Investor and Capital Markets Fee Relief Act : report together with dissenting views (to accompany H.R. 1088) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2001), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Providing for consideration of HR 1088, Investor and Capital Markets Fee Relief Act (U.S. G.P.O., 2001), by United States House Committee on Rules (page images at HathiTrust)
• Securities--commodities accord amendments of 1982 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-seventh Congress, second session, on S. 2260 ... March 31, 1982. (U.S. G.P.O., 1982), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Oversight of the Securities and Exchange Commission and the securities industry : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One hundredth Congress, first session, on the proper roles of government and of self-regulation in light of the shift in policy focus of the SEC in the past few years, February 24, 1987. (U.S. G.P.O. :, 1987), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• The SEC's investigation of Thomas Reed : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, first session on the SEC's investigation of Thomas Reed, March 22, 1983. (U.S. G.P.O., 1983), by Housing United States. Congress. Senate. Committee on Banking (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)
• Saving investors money : reducing excessive SEC fees : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, March 7, 2001. (U.S. G.P.O. :, 2001), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Silver prices and the adequacy of Federal actions in the marketplace, 1979-80 : hearings before a Subcommittee of the Committee on Government Operations, House of Representatives, Ninety-sixth Congress, second session ... (U.S. Govt. Print. Off. :, 1980), by Consumer United States. Congress. House. Committee on Government Operations. Commerce (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)
• Securities and futures markets : assessment of SEC and CFTC studies of October 1989 market volatilities (The Office, 1990), by Housing United States. Congress. Senate. Committee on Banking and United States General Accounting Office (page images at HathiTrust)
• Financial markets; active oversight of market automation by SEC and CFTC needed: report to Congressional Oversight Committee (General Accounting Office, 1991), by United States General Accounting Office (page images at HathiTrust)
• Securities investor protection : the regulatory framework has minimized SIPC's losses : report to Congressional requesters (The Office ;, 1992), by United States General Accounting Office (page images at HathiTrust)
• Securities regulation : SEC enforcement efforts in 1978 and 1985 : fact sheet for the Chairman, Subcommittee on Oversight and Investigations, Committee on Energy and Commerce, House of Representatives (The Office, 1986), by United States General Accounting Office (page images at HathiTrust)
• The SEC's proposed auditor independence rules : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the proposal by the Securities and Exchange Commission (SEC) to promulgate regulations that would restrict the types of nonaudit services that accountants may provide to their audit clients, Thursday, September 28, 2000. (U.S. G.P.O. :, 2002), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Public ownership of US stock markets (U.S. G.P.O. :, 2001), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Saving investors money and strengthening the SEC : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, first session on the "Competitive Market Supervision Act" (S. 143) which seeks to reduce excess user fee collections made by the Securities and Exchange Commission (SEC), place SEC funding on a stable basis, and provide for parity of SEC salaries with federal bank regulators, February 14, 2001. (U.S. G.P.O. :, 2002), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• SEC's role in capital formation (U.S. G.P.O. :, 2001), by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, August 2, 2001. (U.S. G.P.O. :, 2001), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and United States. Congress. House. Committee on Financial Services. Subcommittee on Financial Institutions and Consumer Credit (page images at HathiTrust)
• Legal opportunities with the SEC (The Commission, 2000), by United States Securities and Exchange Commission (page images at HathiTrust)
• Activities of the Securities and Exchange Commission and the Post Office Department in Florida. : hearings before the United States Senate Committee on the Judiciary, Subcommittee on S. Res. 35, Seventy-Ninth Congress, second session. (U.S. G.P.O., 1946), by United States Senate Committee on the Judiciary (page images at HathiTrust)
• Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011. (U.S. G.P.O. :, 2012), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises (page images at HathiTrust)
• Reorganization plans nos. 1, 2, 3, and 4 of 1961 (plan 1, Securities and Exchange Commission); (plan 2, Federal Communications Commission); (plan 3, Civil Aeronautics Board); (plan 4, Federal Trade Commission) : hearings before a subcommittee of the Committee on Government Operations, House of Representatives, Eighty-seventh Congress, first session. May 18-19, 1961. (U.S. Govt. Print. Off, 1961), by United States. Congress. House. Committee on Government Operations. Executive and Legislative Reorganization Subcommittee (page images at HathiTrust)
• Reorganization plan no. 1 of 1961 (SEC) : Hearing before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-seventh Congress, first session, on Reorganization plan no. 1 of 1961, prepared in accordance with the Reorganization act of 1949, as amended, and providing for reorganization in the Securities and Exchange Commission. June 2, 1961. (U.S. Govt. Print. Off, 1961), by United States Senate Committee on Banking and Currency (page images at HathiTrust)
• ... General rules and regulations under the Securities exchange act of 1934, as amended ... (U. S. Govt. print. off., 1938), by United States Securities and Exchange Commission (page images at HathiTrust; US access only)
• Brief of Morgan Stanley & Co. (The Company, 1954), by Morgan Stanley & Co (page images at HathiTrust; US access only)
• Securities trading: SEC action needed to address National Market System issues : report to Congressional Committees. (The Office, 1990), by United States General Accounting Office (page images at HathiTrust)
• General rules and regulations and forms under the Public utility holding company act of 1935. (U.S. Govt. print. off., 1937), by United States Securities and Exchange Commission (page images at HathiTrust)
• Reorganization plans 1 and 2 of 1961. (U.S. Govt. Print. Off., 1961), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust; US access only)
• Brokers and dealers fees under Securities and Exchange Commission. Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-second Congress, second session, on H.R. 6846, a bill to amend title V of the Independent Offices Appropriation Act, 1952, with respect to the authority of the Securities and Exchange Commission to prescribe certain fees and charges. April 30 and May 1, 1952. (U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• Study of Securities and Exchange Commission. Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-second Congress, second session, on powers, duties, and functions of Securities and Exchange Commission. (U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• Study of the Securities and Exchange Commission, Eighty-second Congress; final report . . . (U.S. Govt. Print. Off., 1952), by United States House Committee on Interstate and Foreign Commerce (page images at HathiTrust)
• Review of SEC records of the demise of selected broker-dealers; staff study for the Special Subcommittee on Investigations of the Committee on Interstate and Foreign Commerce, House of Representatives. Ninety-second Congress, first session . . . (U.S. Govt. Print. Off., 1971), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Special Subcommittee on Investigations (page images at HathiTrust)
• SEC and Citicorp : hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, first session, June 28, 1983. (U.S. G.P.O., 1984), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Summary of the accounting establishment : a staff study (National Association of Accountants, 1976), by Accounting United States. Congress. Senate. Committee on Government Operations. Subcommittee on Reports (page images at HathiTrust)
• Securities laws and corporate disclosure regulations : hearing before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, February 8, 1982. (U.S. G.P.O., 1982), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• SEC and Citicorp : hearings before the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, September 13 and 17, 1982. (U.S.G.P.O., 1983), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• SEC/CFTC jurisdictional issues and oversight : hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance and the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, on H.R. 5447 ... H.R. 5515 ... H.R. 6156 .... (U.S. G.P.O., 1982), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)
• Accounting requirements of the Securities and Exchange Commission for the preparation of financial statements by independent public accountants. (New York, 1939), by Benjamin Bernard Greidinger (page images at HathiTrust; US access only)
• Insider Trading Sanctions Act of 1984. (U.S. G.P.O. :, 1984), by United States (page images at HathiTrust)
• Assessing the Madoff Ponzi scheme and the need for regulatory reform (U.S. G.P.O. :, 2011), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• An Act to Amend the Securities Exchange Act of 1934 with Respect to the Extension of Unlisted Trading Privileges for Corporate Securities, and for Other Purposes. (U.S. G.P.O. :, 1994), by United States (page images at HathiTrust)
• Review of SEC regulation NMS ([publisher not identified], 2014), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
• Laws relating to Securities Commission, exchanges and holding companies (with indices) (U.S. Govt. Print. Off, 1973), by United States and Gilman G. Udell (page images at HathiTrust)
• The work of the Securities and Exchange Commission. (U.S. G.P.O., 1971), by United States Securities and Exchange Commission (page images at HathiTrust)
• Invest in your future : legal opportunities at the SEC (The Commission, 1996), by United States Securities and Exchange Commission (page images at HathiTrust)
• Securities and Exchange Commission news release. (The Commission., in the 20th century), by United States Securities and Exchange Commission (page images at HathiTrust)
• Securities acts amendments of 1975 : report of the Committee on Banking, Housing and Urban Affairs, United States Senate, to accompany S. 249. (U.S. G.P.O., 1975), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Staff report on the Securities and exchange commission ([Washington, D.C.], 1948), by United States. Commission on organization of the executive branch of the government (1947-1949) Committee on independent regulatory commissions and Carl Friedrich Farbach (page images at HathiTrust; US access only)
• United States Tax Court 2003 Judicial Conference reports. ([Washington, D.C.] : [The Court], [2003], 2003), by Pa.) United States Tax Court Judicial Conference (2003 : Farmington (page images at HathiTrust)
• Directory of companies filing annual reports with the Securities and Exchange Commission under the Securities Exchange Act of 1934. Alphabetically and by industry groups. (U.S. Govt. Print. Off., 1961), by United States. Securities and Exchange Commission. Division of Trading and Exchanges (page images at HathiTrust)
• Market 2000 : an examination of current equity market developments (U.S. G.P.O. :, 1994), by United States. Securities and Exchange Commission. Division of Market Regulation (page images at HathiTrust; US access only)
• Address of Hon. Joseph P. Kennedy, chairman of Securities and exchange commission at meeting of the Boston Chamber of commerce. November 15, 1934. (U.S. Govt. print. off., 1934), by Joseph P. Kennedy (page images at HathiTrust)
• Laws relating to securities commission, exchanges and holding companies. (U.S. Govt. Print. Off., 1941), by United States and Elmer A. Lewis (page images at HathiTrust)
• The evolution of disclosure regulation by the Securities and Exchange Commission (U.S. Securities and Exchange Commission, 1988), by David S. Ruder and United States Securities and Exchange Commission (page images at HathiTrust)
• Address of Hon. Joseph P. Kennedy, chairman of Securities and exchange commission at Union league club of Chicago, Illinois, February 8, 1935. (U.S. Govt. print. off., 1935), by Joseph P. Kennedy (page images at HathiTrust)
• Subject index to the speech file in the Library of the securities and Exchange Commission (The Library, 1952), by Annette Peabody and United States. Securities and Exchange Commission. Library (page images at HathiTrust; US access only)
• Index to addresses: by commissioners and members of the staff, Securities and Exchange Commission to May, 1940 . (Twentieth Century Press, Inc., 1940), by Inc Twentieth Century Press (page images at HathiTrust; US access only)
• United States Securities and Exchange Commission: its functions and activities. ([Washington], in the 20th century), by United States Securities and Exchange Commission (page images at HathiTrust)
• Statement of John S.R. Shad, Chairman of the Securities and Exchange Commission, before the House Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, concerning EDGAR (Electronic Data Gathering, Analysis, and Retrieval System), March 14, 1985. (The Commission, 1985), by John S. R. Shad, United States Securities and Exchange Commission, and United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations (page images at HathiTrust)

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