Securities industry

Resource Information

The topic Securities industry represents a specific aggregation or gathering of resources found in Indiana State Library.

The Resource Securities industry

Label: Securities industry

227 Items that are about the Topic Securities industry

Using "firewalls" in a post Glass-Steagall banking environment : statement of Richard L. Fogel, Assistant Comptroller General, General Government Programs before the Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, United States House of Representatives

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The Fair Trade in Financial Services Act of 1993, S. 1527 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session ... October 26, 1993

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The Financial Services Act of 1998 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany H.R. 10, together with additional views

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The Financial Services Act of 1998--H.R. 10 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on H.R. 10 ... June 17, 18, 24, and 25, 1998

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The Financial Services Act of 1999 : hearings before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, first session, on H.R. 10, April 28 and May 5, 1999

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The Financial Services Competitiveness Act of 1997 : hearings before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, first session, on H.R. 10, July 17, July 25, and July 30, 1997

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The Gramm-Leach-Bliley Act : financial services modernization : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, first session, on legislative proposals, culminating in the enactment of Public Law 106-102 (S. 900), the Gramm-Leach-Bliley Act, February 24 and 25, 1999

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The Great Crash, Michael L. Lawson, Frederick S. Voss

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The Investment Company Act Amendments of 1995 : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Commerce, House of Representatives, One Hundred Fourth Congress, first session, on H.R. 1495, October 31, 1995

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The Large Firm Project : a review of hiring, retention and supervisory practices, Division of Market Regulation, Division of Enforcement, United States Securities and Exchange Commission

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The Market Reform Act of 1989 : joint hearings before the Subcommittee on Securities and the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, first session on S. 648 to Amend the Securities Exchange Act of 1934 ... May 18 and October 26, 1989

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The Market Reform Act of 1990 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 648, together with additional views

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The October list : a novel in reverse with photographs, by the author Jeffery Deaver

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The SEC proposal on market structure : how will investors fare? : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004

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The SEC's aversion to cost-benefit analysis : hearing before the Subcommittee on TARP, Financial Services, and Bailouts of Public and Private Programs of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Twelfth Congress, second session, April 17, 2012

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The SEC's market structure proposal : will it enhance competition? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Entereprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, February 15, 2005

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The Small Business Incentive Act of 1992 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session ... March 26, 1992

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The Treasury-Federal Reserve-SEC report on improper activities in the government securities market : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on technological modernization of the auction process ... January 23, 1992

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The U.S. Market Security Act of 1997 S. 1315 : hearing before the Subcommittee on Financial Institutions and Regulatory Relief of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, first session on S. 1315 ... November 5, 1997

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The activities of Salomon Brothers, Inc., in treasury bond auctions : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session ... September 11, and 12, 1991

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The administration's proposals for financial regulatory reform : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, September 23, 2009

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The collapse of MF Global : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session

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The collapse of MF Global : lessons learned and policy implications : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, second session ... April 24, 2012

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The financial condition of the securities industry : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session ... January 8, 1991

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The financial crisis and the role of federal regulators : hearing before the Committee on Oversight and Government Reform, House of Representatives, One Hundred Tenth Congress, second session, October 23, 2008

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The future of the securities markets : hearing before the Subcommittee on Securities and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first session, on the structure of the U.S. equities markets, with particular regard to their fairness and efficiency, October 15, 2003

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The great game : the emergence of Wall Street as a world power, 1653-2000, John Steele Gordon

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The impact of Dodd-Frank on customers, credit, and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, July 10, 2012

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The industrial organization and regulation of the securities industry, edited by Andrew W. Lo

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The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005

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The state of securitization markets : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... May 18, 2011

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The state of the securities markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session on examining current issues and matters raised in previous securities hearings, Tuesday, July 31, 2007

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The year 2000 technology problem : pensions and mutual funds : hearing before the Special Committee on the Year 2000 Technology Problem, United States Senate, One Hundred Fifth Congress, second session, on the readiness of the securities industry for the year 2000 technology problem, September 17, 1998

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Timothy's game, Lawrence Sanders

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Trading around the clock : global securities markets and information technology

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Trading places : markets for investors : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session ... March 22, 2000

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Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on steps taken by the agency then and now to encourage the investment banks that it regulates to better manage their risks and how the SEC can be strengthened to meet its mission as the advocate for investors while overseeing securities markets and financial stability of Wall Street firms, Wednesday, May 7, 2008

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U.S. Territories Investor Protection Act of 2016 : report (to accompany H.R. 5322)

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U.S. Territories Investor Protection Act of 2017 : report (to accompany H.R. 1366) (including cost estimate of the Congressional Budget Office)

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U.S. Territories Investor Protection Act of 2017 : report (to accompany H.R. 1366) (including cost estimate of the Congressional Budget Office)

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U.S. equity market structure part I : a review of the evolution of today's equity market structure and how we got here : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, June 27, 2017

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U.S. financial institutions and federal regulatory agencies management of the year 2000 computer problem : hearings before the Subcommittee on Financial Services and Technology of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, first session ... July 19 and 30, 1997

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A legislative proposal to amend the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, November 21, 2013

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A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006

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Accounting reform and investor protection : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Seventh Congress, second session, on the legislative history of the Sarbanes-Oxley Act of 2002, accounting reform and investor protection issues raised by Enron and other public companies

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America's insurance industry : keeping the promise : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, September 26, 2001

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Another day, another collar : an evaluation of the effects of NYSE Rule 80A on trading costs and intermarket arbitrage, by James Overdahl and Henry McMillan

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Anti-money laundering : efforts in the securities industry

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Anti-money laundering : efforts in the securities industry : report to the chairman, Permanent Subcommittee on Investigations, Committee on Governmental Affairs, U.S. Senate, United States General Accounting Office

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Arbitration reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, second session, including H.R. 4960 ... March 31, June 9, and July 12, 1988

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Auction rate securities market : a review of problems and potential resolutions : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, second session, September 18, 2008

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Bank Secrecy Act enforcement : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to ensure compliance and enforcement of the Bank Secrecy Act, enacted in 1970, which authorizes the Secretary of the Treasury to issue regulations requiring that financial institutions keep records and file reports on certain financial transactions, focusing on anti-money laundering and issues concerning depository institution regulatory oversight, June 3, 2004

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Bank powers : bank holding company securities subsidiaries' market activities update : report to the Chairman, Subcommittee on General Oversight and Investigations, Committee on Banking, Finance and Urban Affairs, House of Representatives, United States General Accounting Office

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Catching lightning in a bottle : how Merrill Lynch revolutionized the financial world, Winthrop H. Smith Jr

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Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000

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Condition of the securities industry : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, second session, to examine the strengths and weaknesses of the securities industry ... March 6, 1990

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Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session, on the overall impact and outcome of the consolidation on the regulatory scheme including but not limited to the areas of rules, governance, enforcement and compliance, advertising, arbitration, funding, and the potential impact on investors, Thursday, May 17, 2007

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Consumer and Investor Access to Information Act of 1999 : report (to accompany H.R. 1858) (including cost estimate of the Congressional Budget Office)

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Continued oversight of the SEC's offices and divisions : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, second session, April 21, 2016

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Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary : report (to accompany Treaty Doc. 112-6)

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Corporate takeover legislation : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, first session on S. 1244 to amend the Securities and Exchange Act 1934 with respect to tender offers ... S. 1658 ... S. 1794 ... November 20, 1989

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Credit derivatives : confirmation backlogs increased dealers' operational risks, but were successfully addressed after joint regulatory action : report to congressional requesters

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Current state and future of the financial services markets : hearings before the Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, first session, March 2, 16, 1995

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Day trading : an overview : hearing before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Sixth Congress, first session, September 16, 1999

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Day trading : case studies and conclusions : report, prepared by the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate

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Day trading : everyone gambles but the house : hearings before the Permanent Subcommittee on Investigations of the Committee on Governmental Affairs, United States Senate, One Hundred Sixth Congress, second session, February 24 and 25, 2000

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Dodd-Frank Wall Street Reform and Consumer Protection Act

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Dodd-Frank Wall Street Reform and Consumer Protection Act : conference report (to accompany H.R. 4173)

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Electronic bulls and bears : U.S. securities markets and information technology

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Employment discrimination : how registered representatives fare in discrimination disputes : report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives, United States General Accounting Office

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Enhanced investor protection after the financial crisis : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session, on surveying the investor protection provisions contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act one year after its implementation, July 12, 2011

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Enhancing investor protection and the regulation of securities markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining what went wrong in the securities markets, how we can prevent the practices that led to our financial system problems, and how to protect investors

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Evaluation of steps taken to address the problem of unpaid arbitration awards, United States General Accounting Office

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Examination of the Gramm-Leach-Bliley Act five years after its passage : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on the Gramm-Leach-Bliley Act (P.L. 106-102), to enhance competition in the financial services industry by providing a prudential framework for the affiliation of banks, securities firms, and other financial service providers, July 13, 2004

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Fair Access to Investment Research Act of 2015 : report together with minority views (to accompany H.R. 2356) (including cost estimate of the Congressional Budget Office)

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Fair Access to Investment Research Act of 2017

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Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)

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Fair Trade in Financial Services Act : hearing before the Subcommittee on Trade of the Committee on Ways and Means, House of Representatives, One Hundred Second Congress, first session, July 29, 1991

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Fair Trade in Financial Services Act of 1994 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1527

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Fair disclosure or flawed disclosure : is Reg FD helping or hurting investors? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, May 17, 2001

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Financial Services Act of 1999 : report together with supplemental, additional, and dissenting views (to accompany H.R. 10)

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Financial Services Act of 1999 : report together with supplemental, additional, and dissenting views (to accompany H.R. 10)

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Financial Services Antifraud Network Act of 2001 : report (to accompany H.R. 1408) (including cost estimate of the Congressional Budget Office)

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Financial Services Competition Act of 1997 : report of the Committee on Banking and Financial Services, House of Representatives, on H.R. 10 together with additional, supplemental, and dissenting views (including cost estimate of the Congressional Budget Office)

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Financial market preparedness : significant progress has been made, but pandemic planning and other challenges remain : report to congressional requesters

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Financial modernization : hearings before the Committee on Banking and Financial Services, House of Representatives, One Hundred Fifth Congress, first session

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Financial regulatory reform : protecting taxpayers and the economy : hearing before the Joint Economic Committee, Congress of the United States, One Hundred Eleventh Congress, first session, November 19, 2009

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Financial services and products : the role of the Federal Trade Commission in protecting consumers : hearing before the Subcommittee on Consumer Protection, Product Safety, and Insurance of the Committee on Commerce, Science, and Transportation, United States Senate, One Hundred Eleventh Congress, second session, March 17, 2010, Pt. II

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Financial services and products : the role of the Federal Trade Commission in protecting consumers, Pt. II : hearing before the Subcommittee on Consumer Protection, Product Safety, and Insurance of the Committee on Commerce, Science, and Transportation, United States Senate, One Hundred Eleventh Congress, second session, March 17, 2010

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Financial services reform : hearings before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, first session, May 1, 1997--"A two way street" and functional reform; May 14, 1997--Consolidation in the brokerage industry; June 24, 1997--Insurance regulation

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Financial services regulators : better information sharing could reduce fraud : statement of Richard J. Hillman, Director, Financial Markets and Community Investment, before the Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit, Committee on Financial Services, House of Representatives, United States General Accounting Office

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Financial services restructuring : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, including H.R. 797, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 11, June 20, July 10 and 31, August 1, and September 13, 1991

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Follow-up report on matters relating to securities arbitration

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Context

Context of Securities industry

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Securities industry -- Computer networks | Security measures -- United States
Securities industry -- Computer networks | Security measures -- United States
Securities industry -- Congresses
Securities industry -- Corrupt practices -- Fiction
Securities industry -- Corrupt practices -- United States
Securities industry -- Deregulation
Securities industry -- Deregulation -- United States
Securities industry -- Economic aspects -- United States
Securities industry -- Government policy -- United States
Securities industry -- Government policy -- United States
Securities industry -- Information services | Law and legislation -- United States
Securities industry -- Information technology
Securities industry -- International cooperation
Securities industry -- Law and legislation
Securities industry -- Law and legislation -- United States
Securities industry -- Law and legislation -- United States
Securities industry -- Law and legislation -- United States
Securities industry -- Law and legislation -- United States -- Criminal provisions
Securities industry -- Law and legislation -- United States -- Territories and possessions
Securities industry -- Law and legislation -- United States -- Territories and possessions
Securities industry -- Prices | Government policy -- United States
Securities industry -- Protection -- United States
Securities industry -- Risk management -- United States
Securities industry -- Security measures | Government policy -- United States
Securities industry -- Self-regulation -- United States
Securities industry -- Self-regulation -- United States
Securities industry -- Standards -- United States
Securities industry -- State supervision -- Congresses
Securities industry -- State supervision -- United States
Securities industry -- State supervision -- United States -- Cost effectiveness
Securities industry -- United States
Securities industry -- United States -- Accounting | Corrupt practices
Securities industry -- United States -- Automation
Securities industry -- United States -- Automation | Evaluation
Securities industry -- United States -- Data processing
Securities industry -- United States -- Evaluation
Securities industry -- United States -- Exhibitions
Securities industry -- United States -- History
Securities industry -- United States -- Information services
Securities industry -- United States -- Management
Securities industry -- United States -- Periodicals
Securities industry -- United States -- Personnel management | Evaluation
Securities industry -- United States -- Planning
Securities industry -- United States -- Regulations
Securities industry -- United States. -- Fiction
Securities industry -- United States. -- History
Securities industry

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Securities industry Resource Information The topic Securities industry represents a specific aggregation or gathering of resources found in Indiana State Library.

227 Items that are about the Topic Securities industry

Context

Focus of

Securities industry

Resource Information

The topic Securities industry represents a specific aggregation or gathering of resources found in Indiana State Library.