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Subjects (1-45 of 45)
United States. Securities and Exchange Commission.
1
E-Gov Document
 

Assessment of the SEC's privacy program.


United States. Securities and Exchange Commission. Office of Audits.
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, [2010]

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Item Status

2
book
BookPrinted Material
 

Corporate financial reporting : public or private control?


Chatov, Robert.
New York : Free Press, [1975]

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Item Status

Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  HF5616.U5 C47    Available  ---
3
Bestseller
BestsellerE-book
 

Credit rating agencies : regulation and reform act review



[Hauppauge], N.Y. : Nova Science Publisher's, Inc., [2012]

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Item Status

4
book
BookPrinted Material
 

Deceitful practices : Nomura Securities and the Japanese invasion of Wall Street


Fitzgibbon, John E.
New York : Carol Pub. Group, [1991]

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Item Status

Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks (Suplee Collection)  KNX1064 .F57 1991    Available  ---
5
book
BookPrinted Material
 

Definition of insider trading : hearings before the Subcommittee on Securities of the Committee on B


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1987-

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Item Status

Location Call No. Status OPAC Message Public Note Gift Note
 Moore Microfiche  3727  001    Available  ---
 Moore Microfiche  3727  002    Available  ---
6
book
BookPrinted Material
 

Economic policy and the regulation of corporate securities.



[Washington] : [American Enterprise Institute for Public Policy Research], [1969]

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  HG4556.U6 E24    Available  ---
7
E-Gov Document
 

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve inv


United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2012.

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Item Status

8
book
BookPrinted Material
 

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve inv


United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2012.

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Item Status

9
E-Gov Document
 

Equity market structure : a review of SEC regulation NMS : hearing before the Subcommittee on Capita


United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author.
Washington : U.S. Government Printing Office, 2014.

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Item Status

10
E-Gov Document
 

Holding the Biden administration accountable for wasteful spending and regulatory overreach : hearin


United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations, author.
Washington : U.S. Government Publishing Office, 2023.

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Item Status

11
book
BookPrinted Material
 
12
book
BookPrinted Material
 

Improper activities in the securities industry : hearing before the Committee on Banking, Housing, a


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington, [D.C.] : U.S. G.P.O., 1987.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  3767    Available  ---
13
book
BookPrinted Material
 

The Insider Trading Proscriptions Act of 1987 : hearing before the Subcommittee on Securities of the


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1988.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  3719    Available  ---
14
book
BookPrinted Material
 

The Insider Trading Sanctions Act of 1983 : hearing before the Subcommittee on Securities of the Com


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O., 1984.

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 Moore Stacks  2183    Available  ---
15
book
BookPrinted Material
 

An introduction to the SEC


Skousen, K. Fred.
Cincinnati : South-Western Pub. Co., [1976]

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 Moore Stacks  KF1444 .S5    Available  ---
16
book
BookPrinted Material
 

Laws relating to Securities Commission, exchanges and holding companies (with indices)


United States.
Washington : U.S. Govt. Print. Off., 1973.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Reference Room  KF1434 1973    Available  ---
17
book
BookPrinted Material
 

Management remuneration : SEC and tax aspects of corporate perquisites



New York : Practising Law Institute, [1978]

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 Moore Stacks  KF1424.Z9 M36    Available  ---
18
book
BookPrinted Material
 

The New Deal's SEC: the formative years.


De Bedts, Ralph F.
New York : Columbia University Press, 1964.

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 Moore Stacks  HG4556.U6 D38    Available  ---
19
book
BookPrinted Material
 

The new Wall Street


Weissman, Rudolph L. (Rudolph Leo), 1900-
New York : Arno Press, 1975.

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 Moore Stacks  HG4572 .W4 1975    Available  ---
20
E-Gov Document
 

Oversight of the Securities and Exchange Commission : Wall Street's cop on the beat : hearing before


United States. Congress. House. Committee on Financial Services, author.
Washington : U.S. Government Publishing Office, 2023.

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Item Status

21
book
BookPrinted Material
 

Recommendations of Securities and Exchange Commission forum on small business capital formation : jo


United States. Congress. House. Committee on Small Business. Subcommittee on Tax, Access to Equity Capital, and Business Opportunities.
Washington : U.S. G.P.O., 1983.

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 Moore Microfiche  1068    Available  ---
22
book
BookPrinted Material
 

Regulation by prosecution : the Securities and Exchange Commission vs. corporate America


Karmel, Roberta S., 1937-
New York : Simon and Schuster, [1982]

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  KF1444 .K37 1982    Available  ---
23
book
BookPrinted Material
 

Report of the Securities and Exchange Commission on questionable and illegal corporate payments and


United States. Securities and Exchange Commission.
Washington, D.C. : U.S. Government Printing Office, 1976.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  KF1446 .A25 1976b    Available  ---
24
E-Gov Document
 

Report on the municipal securities market


United States. Securities and Exchange Commission, author.
[Washington, D.C.] : U.S. Securities and Exchange Commission, 2012.

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Item Status

25
E-Gov Document
 

Review of the SEC's compliance with the Freedom of Information Act


United States. Securities and Exchange Commission. Office of Audits.
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, [2009]

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Item Status

26
book
BookPrinted Material
 

SEC accounting practice and procedure


Rappaport, Louis H.
New York : Ronald Press Co., [1972]
3rd ed.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  KF1446 .R3 1972    Available  ---
27
book
BookPrinted Material
 

SEC accounting practice and procedure.


Rappaport, Louis H.
New York : Ronald Press Co., [1963]
2d ed.

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 Moore Stacks  KF1446 .R3 1963    Available  ---
28
book
BookPrinted Material
 

The SEC and capital market regulation : the politics of expertise


Khademian, Anne M., 1961-
Pittsburgh : University of Pittsburgh Press, [1992]

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  KF1444 .K47 1992    Available  ---
29
book
BookPrinted Material
 

SEC and insider trading : hearing before the Subcommittee on Oversight and Investigations of the Com


United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1987.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Stacks  KF27 .E5546 1986c    Available  ---
30
book
BookPrinted Material
 

The SEC and the future of finance


Seligman, Joel.
New York : Praeger, 1985.

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 Moore Stacks (Suplee Collection)  KF1070 .S43 1985    Available  ---
31
book
BookPrinted Material
 

The SEC and the public interest


Phillips, Susan M., 1944-
Cambridge, Mass. : MIT Press, [1981]

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 Moore Stacks  KF1444 .P5    Available  ---
32
book
BookPrinted Material
 

The SEC/CFTC jurisdiction and margin : joint hearings before the Subcommittee on Securities and the


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O. : For sale by Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1991.

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Location Call No. Status OPAC Message Public Note Gift Note
 Moore Microfiche  5119    Available  ---
33
E-Gov Document
 

SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insur


United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2009.

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Item Status

34
book
BookPrinted Material
 

SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insur


United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2009.

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Item Status

35
E-Gov Document
 

SEC sustainability plan.


United States. Securities and Exchange Commission.
[Washington, D.C.] : [U.S. Securities and Exchange Commission], [2009?]

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Item Status

36
E-Gov Document
 

SEC's crowdfunding proposal : will it work for small businesses? : hearing before the Subcommittee o


United States. Congress. House. Committee on Small Business. Subcommittee on Investigations, Oversight, and Regulations, author.
Washington : U.S. Government Printing Office, 2014.

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Item Status

37
book
BookPrinted Material
 

The SEC's investigation of Thomas Reed : hearing before the Subcommittee on Securities of the Commit


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O., 1983.

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 Moore Stacks  1172    Available  ---
38
book
BookPrinted Material
 

The Securities and Exchange Commission


Lamden, Charles William.
New York : Arno Press, 1978.

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 Moore Stacks  KF1446 .L35 1978    Available  ---
39
book
BookPrinted Material
 

Securities--commodities accord amendments of 1982 : hearing before the Subcommittee on Securities of


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O., 1982.

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 Moore Microfiche  757    Available  ---
40
book
BookPrinted Material
 

Securities, exchanges and the SEC.


Tyler, Poyntz.
New York : H. W. Wilson Co., 1965.

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 Moore Stacks  HG4910 .T9    Available  ---
41
book
BookPrinted Material
 

The Small Business Incentive Act of 1992 : hearing before the Subcommittee on Securities of the Comm


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs. Congressional Sales Office, 1992.

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 Moore Stacks  5575    Available  ---
42
E-Gov Document
 

Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securi


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O., 2010.

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Item Status

43
E-Gov Document
 

Turmoil in U.S. credit markets : examining the recent actions of federal financial regulators : hear


United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O., 2010.

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44
book
BookPrinted Material
 

Understanding the Securities act and the S.E.C.


McCormick, Edward T., 1911-1991.
New York : American Book Co., [1948]
[1st ed.]

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 Moore Stacks  KF1440 .M23    Available  ---
45
book
BookPrinted Material
 

The watchdogs of Wall Street


Black, Hillel.
New York : Arno Press, 1975.

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 Moore Stacks  HG4572 .B6 1975    Available  ---
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