Last edited by Dair
Monday, April 13, 2020 | History

3 edition of Securities regulation found in the catalog.

Securities regulation

Securities regulation

customer protection rule oversight procedures appear adequate : report to the Chairman, Subcommittee on Commerce, Consumer, and Monetary Affairs, Committee on Government Operations, House of Representatives


  • 3 Want to read
  • 33 Currently reading

Published by The Office, U.S. General Accounting Office [distributor in Washington, D.C, Gaithersburg, MD (P.O. Box 6015, Gaithersburg 20877) .
Written in English

  • United States. -- Securities and Exchange Commission -- Auditing,
  • Securities industry -- United States

  • Edition Notes

    Other titlesCustomer protection rule oversight procedures appear adequate
    StatementUnited States General Accounting Office
    The Physical Object
    Pagination10 p.
    Number of Pages10
    ID Numbers
    Open LibraryOL14696144M

    The framework of securities regulation --The definition of a security --Understanding investors --The public offering --Exempt transactions --Secondary distributions --Recapitalizations, reorganizations, and acquisitions --Exempt securities --Liability under the securities act --Financial innovation: trading markets, derivatives, and. Foreword, by R.H. MundheimAdministrative agencies and the Securities and Exchange Commission, by W.L. CarySelf-regulation in the securities industry: the role of the Securities and Exchange Commission, by R.W. JenningsBroker-dealer selling practice standards: the importance of administrative adjudication in their development, by M.F.

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