will the securities and exchange commission be emboldened or constrained
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 ... SEC, and the rise in the number of individual investors, auditor independence became ripe for consideration again As a precursor to the 1999 through 2001 dispute, the SEC began to act on the notion ... 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...
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Tài liệu U.S. Securities and Exchange Commission “We are the investor’s advocate” pdf
... 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 ... because attorneys often given more-complex work to interns after they have proven themselves in the early weeks An eleventh or twelfth week can lead to exceptional opportunities For more information, ... Read below The deadlines vary slightly between offices You should follow the instructions below Applications will be considered and offers will be made on a rolling basis If you wait until the...
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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 ... Commission Dear 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 ... for Fiscal Years 2010 and 2009 Committee on Oversight and Government Reform We are also sending copies to the Secretary of the Treasury, the Director of the Office of Management and Budget, and...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part2 pdf
... operations, and the Chairman and Commissioners are responsible for the review and approval of enforcement cases and formal orders of investigation and the development, consideration, and execution ... Opportunity Inspector General Office of the Inspector General • working with Members of Congress on issues that affect the Commission; • coordinating the SEC’s communications with the media, the ... 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...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part3 pptx
... the most active investor-focused regulatory agendas in the agency’s history The rules reflect the agency’s efforts to create a more secure marketplace, assure that investors have the timely and ... enables long sellers to stand in the front of the line once the 10 percent benchmark is breached and to sell their shares before any short sellers In addition, the SEC addressed the potentially harmful ... format in order to enhance investor understanding of a fund’s asset mix and how the mix is expected to change as the investor’s retirement approaches and thereafter • Asset-Backed Securities The...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part4 potx
... 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 for ... established or FY 2010 data is not available (categorized as not applicable (N/A)) As the agency refines its processes for collecting the information, targets will be established and data will be reported ... events, reports, or initiatives; and joint examinations and other mutual supervisory efforts with SROs and other federal, state, and non-U.S regulators N/A N/A N/A N/A MEASURE 3: Number of non-U.S...
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United States Government Accountability Office GAO November 2010 Report to the Chairman, United States Securities and Exchange Commission|_part5 potx
... and Performance Management System for budget formulation and execution; the Central Contractor Registry for SEC vendor information; FedTraveler for travel orders and vouchers; Fee Momentum for ... reporting processes will be affected through the SSP initiative described above During FY 2011 before the agency migrates to the SSP environment, the SEC will reduce the number of manual processes ... 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 will work...
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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 ... penalties, and pre-judgment and post-judgment interest Orders can identify whether the resulting proceeds are to be held on behalf of harmed investors or whether they are to be remitted to the Treasury ... accounting and auditing standards setters, state securities regulators, law enforcement officials, and many other organizations in support of the agency’s mission The agency’s programs protect investors...
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Securities and Exchange Commission: Consolidated Audit Trail pptx
... broker-dealer receiving or originating the order; the date and time of receipt or origination of the order; and the “material terms of the order.”99 For orders that are modified or cancelled, ... and capital formation The Commission believes that these estimates and analyses will help inform public comment regarding the NMS plan and will help inform the Commission as it evaluates whether ... to be considered by the SROs than the proposed Rule did and because the Commission and the public will be able to avail themselves of much more information and analysis in connection with the...
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SECURITIES AND EXCHANGE COMMISSION: Staff Accounting Bulletin No. 104 pptx
... purpose for ordering the goods on a bill and hold basis; There must be a fixed schedule for delivery of the goods The date for delivery must be reasonable and must be consistent with the buyer's ... and/ or services are delivered and/ or performed over the term of the arrangement or the expected period of performance39 and generally should be deferred and recognized systematically over the ... subject to being used to fill other orders; and The equipment [product] must be complete and ready for shipment The above listed conditions are the important conceptual criteria that should be used...
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U.S. Securities and Exchange Commission In Brief FY 2013 Congressional Justification pptx
... As the Commission implements the rules required under the Dodd-Frank Act, there will be a need for additional staff to respond to the demand from companies, investors, and their advisors for ... to further the agency’s mission and allow for accurate and reliable information to be made available to investors In FY 2013, the Commission will work to strengthen the administration of the federal ... discovery, the forensics laboratory, and reporting tools SEC Reserve Fund The Dodd-Frank Act established a Reserve Fund for the SEC and gives the agency authority to use the Fund for expenses...
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United States Government Accountability Office GAO November 2008 Report to the Chairman, United States Securities and Exchange Commission_part1 potx
... Exchange Commission' s Financial Statements for Fiscal Years 2008 and 2007 Why GAO Did This Study What GAO Found Established in 1934 to enforce the securities laws and protect investors, the Securities ... November 2008 FINANCIAL AUDIT Accountability Integrity Reliability Highlights Highlights of GAO-09-173, a report to Chairman, United States Securities and Exchange Commission Securities and Exchange ... controls over information security, accounting for budgetary resources, and property and equipment, and therefore continues to consider these areas as significant deficiencies as of September 30, 2008...
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Tài liệu SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 doc
... director or trustee or partner or Sponsor or Manager of the Alternative Investment Fund or a director or partner of the Manager or Sponsor holds, either individually or collectively, more than ... experience of the Sponsor(s) in advising or managing pools of capital or in fund or asset or wealth or portfolio management or in the business of buying, selling and dealing of securities or other financial ... winding up of the Alternative Investment Fund or the scheme and such other information as may be necessary for the investor to take an informed decision on whether to invest in the Alternative...
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Securities Trading in the Absence of Dealers:Trades, and Quotes on the Tokyo Stock Exchange
... under the supervision of a saitori exchange member The saitori is neither a broker nor a dealer: he neither rep resents customer orders nor does he trade for his own account The saitori governs the ... 3), the member orally communicates the order to the saitori who then enters it in the floor-trading computer system For system-traded issues, all customer orders must be routed through the member’s ... resent the best bid and ask in the limit order book, and most incoming market orders execute by hitting the book The size of the reported trade is determined by the size of the incoming order...
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Tài liệu COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT Innovation in a knowledge-driven economy ppt
... which they set in the short, medium and long terms, – Establishing, where appropriate, quantitative and qualitative indicators and benchmarks against the best in the world and tailored to the needs ... invigorate the economy by being the “first movers” who introduce new ideas, and from their number will emerge the expanding businesses of the future But the obstacles to their creation and growth ... 34), and aerospace and other transport (NACE 35) The total workforce includes all manufacturing and service sectors The data is for 1998 for Denmark, Germany, France, Italy, Finland, UK, US, and...
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