dodd frank affords the securities and exchange commission extraterritorial jurisdiction
auditor independence, accounting firms, and the securities and exchange commission
... 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 many of the same ... positions and the actions they take” (p 25) They define diversity and intensity, respectively, as the number of competing values and interests” and the strength or importance of different values and ... model suggests that the negotiation and the agreement are related to the diversity and intensity of the values and interests of the participants Values of the participants in the dispute included...
- 32
- 215
- 0
Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf
... depending on the office (and to attend the Wednesday afternoon seminar in the Headquarters) The hiring committee does not set a work schedule for the interns Instead, the interns set their schedules ... dates and application dates at the top of this page are for the Washington, DC program See below for information about the regional offices, including the divisions and offices for which they ... professional standards BASICS ABOUT THE APPLICATION AND SECURITY CLEARANCE PROCESS Programs are run separately in the Headquarters and each regional office The largest two programs are in the SEC Headquarters...
- 10
- 570
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part1 pptx
... To the Chairman of the United 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 ... Pursuant to the Accountability of Tax 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 ... Ms Schapiro: The accompanying report presents the results of our audits of the financial statements of the United States Securities and Exchange Commission (SEC) as of, and for the fiscal years...
- 9
- 200
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf
... provisions of the following laws and regulations: the Securities Exchange Act of 1934, as amended; the Securities Act of 1933, as amended; the Antideficiency Act; laws governing the pay and allowance ... to 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 ... the Chairman, Commissioners, and operating divisions on all aspects of the Commission s activities The General Counsel also defends the Commission in federal district courts, represents the Commission...
- 10
- 277
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx
... penalty, and Schneider agreed to pay $3 million, to settle the SEC’s charges against them Municipal Securities and Public Pensions As the financial health of municipalities and its effect on the securities ... component The agencies also must work together to define other key terms They are writing rules that address, among other issues, mandatory clearing, the end-user exception to mandatory clearing and ... advising them Dodd- Frank requires that the SEC conduct a study of the effectiveness of existing disparate standards of conduct After completion of the study, the legislation also gives the SEC...
- 10
- 330
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx
... million The SEC fosters compliance with the federal securities laws The SEC promptly detects violations of the federal securities laws The SEC prosecutes violations of federal securities laws and ... updated plan addresses the agency’s mission, vision, values, and revised strategic goals The plan further details the outcomes the agency is seeking to achieve, the strategies and initiatives that ... addition to the financial reports used to monitor and control budgetary resources, which are prepared from the same books and records The statements should be read with the understanding that they are...
- 10
- 211
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx
... the financial system and building an automated interface with the Bureau of Public Debt for handling investments In addition, the agency will seek in the short term to bolster the databases and ... 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 ... Control Board on the basis of cost, benefits, and risk to the agency Future system upgrades will be documented to show both the impact on security and evidence of approval by the Board The agency also...
- 10
- 231
- 0
United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part6 docx
... established the need for two new additional TAFS in the SEC fund accounting structure: the Securities and Exchange Commission Investor Protection Fund (Investor Protection Fund) and the Securities and Exchange ... and Note 13 Earmarked, Other, Disgorgement and Penalties, and Non-Entity Funds) Other Funds: ● Deposit and Suspense Funds (F3875, X6561, and X6563): These TAFS hold disgorgement, penalties, and ... estimates and assumptions include, but are not limited to, the disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses...
- 10
- 254
- 0
Securities and Exchange Commission: Consolidated Audit Trail pptx
... 19(h), and 21 of [the Exchange Act], the term ‘member’ when used with respect to a national securities exchange also means, to the extent of the rules of the exchange specified by the Commission, ... require their members to comply with the requirements of the Rule and the NMS plan approved by the Commission3 9 and the deadline for submitting the document required by Rule 613(i) regarding the ... substantially enhance the ability of the SROs and the Commission to oversee today’s securities markets and fulfill their responsibilities under the federal securities laws Rule 613 requires the submission...
- 351
- 375
- 0
SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx
... 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 in such arrangements The ... return the product and: (a) the buyer does not pay the seller at the time of sale, and the buyer is not obligated to pay the seller at a specified date or dates.9 (b) the buyer does not pay the ... or otherwise using the goods in the ordinary course of business, and has no other rights that rest with a titleholder of property that is subject to a lien under the U.S UCC On the other hand,...
- 81
- 797
- 0
U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx
... 2013, the Commission aims to continue to strengthen the administration of the federal securities laws, implement the new regulatory structure set forth under the Dodd- Frank Act, and review other ... creation of, and ultimately approve, a detailed SRO plan for the consolidated audit trail system, and then monitor the development and implementation of the system by the SROs and their members The FY ... under the Dodd- Frank Act; and evaluate and, as needed, address trends in the increasingly complex offerings of asset-backed securities and other structured financial products Trading and Markets The...
- 77
- 708
- 0
As Required by Section 939(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ppt
... of their credit ratings, and the methodologies they use to determine credit ratings Many of these proposals were mandated by the Dodd- Frank Act In particular, section 932(a)(8) of the Dodd- Frank ... implementing the standardization that is the subject of the study, the staff believes it would be more efficient to focus on the rulemaking initiatives mandated under the Dodd- Frank Act, which, among other ... within and outside of the U.S that are not registered with the Commission as NRSROs These credit rating agencies are not subject to the Commission s NRSRO oversight program and, therefore, any Commission...
- 60
- 477
- 0
United States Government Accountability Office GAO November 2008 Report to the Chairman, United States Securities and Exchange Commission_part1 potx
... 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 ... 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 ... reliability of its financial reporting, the soundness of its operations, and public confidence in the agency’s mission To view the full product, including the scope and methodology, click on GAO-09-173...
- 2
- 248
- 0
Tài liệu SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 doc
... information provided in the application We further agree that we shall comply with, and be bound by the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India ... commitment letters from the sponsor(s)/manager(s)) (b) Whether the applicant, Sponsor and Manager are fit and proper persons based on the criteria specified in the Securities and Exchange Board of ... supplied in the application, including the attachment sheets, is complete and true AND we further agree that, we shall notify the Securities and Exchange Board of India immediately any change in the...
- 41
- 432
- 0
COMMUNITY BANKS AND CREDIT UNIONS : Impact of the Dodd- Frank Act Depends Largely on Future Rule Makings docx
... of Dodd- Frank Act on Community Banks and Credit Unions Many Dodd- Frank Act Provisions May Affect Community Banks and Credit Unions, but the Full Extent of Their Impact Is Uncertain The Dodd- Frank ... through their rules, and many of the rules needed to implement the act have not been finalized 29 For the same reason, regulators and industry officials have noted that the full impact of the Dodd- Frank ... Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) to consider exempting small banks and credit unions from their swap clearing requirements CFPB, FDIC, the Federal...
- 88
- 463
- 0
Tìm thêm: hệ việt nam nhật bản và sức hấp dẫn của tiếng nhật tại việt nam xác định các mục tiêu của chương trình xác định các nguyên tắc biên soạn khảo sát chương trình đào tạo gắn với các giáo trình cụ thể điều tra với đối tượng sinh viên học tiếng nhật không chuyên ngữ1 khảo sát các chương trình đào tạo theo những bộ giáo trình tiêu biểu nội dung cụ thể cho từng kĩ năng ở từng cấp độ xác định mức độ đáp ứng về văn hoá và chuyên môn trong ct phát huy những thành tựu công nghệ mới nhất được áp dụng vào công tác dạy và học ngoại ngữ mở máy động cơ lồng sóc mở máy động cơ rôto dây quấn các đặc tính của động cơ điện không đồng bộ hệ số công suất cosp fi p2 đặc tuyến mômen quay m fi p2 đặc tuyến dòng điện stato i1 fi p2 sự cần thiết phải đầu tư xây dựng nhà máy thông tin liên lạc và các dịch vụ phần 3 giới thiệu nguyên liệu chỉ tiêu chất lượng theo chất lượng phẩm chất sản phẩm khô từ gạo của bộ y tế năm 2008 chỉ tiêu chất lượng 9 tr 25