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

... and for deadlines in the regional offices. The SEC&apos ;s Law Student Observer Program provides exposure to the workings of the Commission and to the regulation of securities and securities ... and establish a working schedule with their supervisors. Although students are not employees of the SEC, they are required to abide by the rules of the Commissio...

Ngày tải lên: 18/02/2014, 14:20

... violations of the securities laws. As product offerings and fraudsters become more sophisticated, the complexity of enforcement cases increases and requires more resources to achieve a successful outcome. ... investment decisions and assist market participants in fulfilling their disclosure obligations. This measure gauges the demand for disclosure information about municipal...

Ngày tải lên: 16/03/2014, 09:20

... information and analysis from the SROs in response to these requirements, the Commission is furnishing further details about how it envisions regulators would use, access, See Nasdaq Letter ... plan must also discuss the steps the plan sponsors propose to take to seek Commission approval for the elimination of such rules and systems (or components thereof); and a timetab...

Ngày tải lên: 06/03/2014, 23:20

... agreement is complete. Customary business practices and processes for documenting sales transactions vary among companies and industries. Business practices and processes may also vary within ... chosen for these costs should be disclosed and applied consistently. Question 4 Facts: Assume the same facts as in Question 2 above. Question : What is the staff&apos ;s...

Ngày tải lên: 15/03/2014, 22:20

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

Ngày tải lên: 20/06/2014, 08:20

... activities. The General Counsel also defends the Commission in federal district courts, represents the Commission in all appellate matters and amicus curiae  lings, and oversees the SEC s bankruptcy ... This is trial version www.adultpdf.com Management s Discussion and Analysis Organizational Structure and Resources The SEC is an independent federal agency...

Ngày tải lên: 20/06/2014, 08:20

... approaches and thereafter. Asset-Backed Securities. • The SEC proposed new rules that would signi cantly improve the disclosure and offering process for asset-backed securities. The new rules would ... ciencies. Dodd-Frank also requires the SEC to issue rules requiring any issuer of an asset-backed security to perform a review of the assets underlying the security an...

Ngày tải lên: 20/06/2014, 08:20

... Management s Discussion and Analysis Performance Results Summary The SEC has established various performance measures for assessing program performance against strategic goals and planned outcomes. ... REPORT MANAGEMENT S DISCUSSION AND ANALYSIS Page 30 GAO-11-202 SEC&apos ;s Financial Statements for Fiscal Years 2010 and 2009 This is trial version www.adultpdf.com M...

Ngày tải lên: 20/06/2014, 08:20

... Requests from foreign authorities for SEC assistance and SEC requests for assistance from foreign authorities Number of requests from foreign authorities 408 457 Number of SEC requests 774 ... objectives; Reporting and regulatory requirements; and Existing de ciencies and corrective action plans.• From the results of the risk assessment, SEC management documented business pr...

Ngày tải lên: 20/06/2014, 08:20

... affect the reported amounts of assets and liabili- ties. These estimates and assumptions include, but are not limited to, the disclosure of contingent assets and liabilities at the date of the ... processes, changes in disgorgements and penalties payable to the Treasury General Fund. Previously, the SEC had presented these receivables as non-custodial assets under t...

Ngày tải lên: 20/06/2014, 08:20