Reports and Testimonies - Browse by topic
Securities regulation (1 - 10 of 217 items)
Securities and Exchange Commission's Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23, 2013]
Published: Dec 16, 2013. Publicly Released: Dec 16, 2013.
Securities and Exchange Commission:
Alternative Criteria for Qualifying As An Accredited Investor Should Be Considered
Published: Jul 18, 2013. Publicly Released: Jul 18, 2013.
Requirements and Costs Associated with the Custody Rule
Published: Jul 8, 2013. Publicly Released: Jul 8, 2013.
Agencies' Efforts to Analyze and Coordinate Their Rules
Published: Dec 18, 2012. Publicly Released: Dec 18, 2012.
Dodd-Frank Act Regulations:
Implementation Could Benefit from Additional Analyses and Coordination
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
Review of Federal Reserve System Financial Assistance to American International Group, Inc.
Published: Sep 30, 2011. Publicly Released: Oct 31, 2011.
Mutual Fund Advertising:
Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors
Published: Jul 26, 2011. Publicly Released: Jul 26, 2011.
Financial Markets and Institutions:
Securities Fraud Liability of Secondary Actors
Published: Jul 21, 2011. Publicly Released: Jul 21, 2011.
Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
Published: Jul 13, 2011. Publicly Released: Jul 13, 2011.
Private Fund Advisers:
Although a Self-Regulatory Organization Could Supplement SEC Oversight, It Would Present Challenges and Trade-offs
Published: Jul 11, 2011. Publicly Released: Jul 11, 2011.