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...

Ngày tải lên: 16/03/2014, 09:20

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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...

Ngày tải lên: 18/02/2014, 14:20

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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...

Ngày tải lên: 06/03/2014, 23:20

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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...

Ngày tải lên: 15/03/2014, 22:20

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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...