Securities industry

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

The Resource Securities industry

Label: Securities industry

100+ Items that are about the Topic Securities industry

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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Government Securities Act Amendments of 1991 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1247

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Government Securities Act Amendments of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 442

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Government Securities Act and auction process reform : joint hearing before the Subcommittee on Domestic Monetary Policy and the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred Second Congress, second session, February 6, 1992

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Gramm-Leach-Bliley Act : conference report (to accompany S. 900)

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H.R. ,̲̲̲̲̲ the Swap Data Repository and Clearinghouse Indemnification Act of 2012 : 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, March 21, 2012, (electronic resource)

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H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act of 2003 : 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 Eighth Congress, first session, June 5, 2003

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H.R. 4450--Government Securities Auction Reform Act; H.R. 3927--Government Securities Reform Act : hearings before the Subcommittee on Domestic Monetary Policy of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One Hundred Second Congress, second session, April 28 and May 7, 1992

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H.R. 658, the Accountant, Compliance, and Enforcement Staffing Act of 2003 and H.R. 957, the Broker Accountability Through Enhanced Transparency Act of 2003 : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003

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H.R. _____, the Swap Data Repository and Clearinghouse Indemnification Act of 2012 : 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, March 21, 2012

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Hearing to consider H.R. 3412 : hearing before the Committee on Small Business, House of Representatives, One Hundred Fifth Congress, second session, Washington, DC, March 12, 1998

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Hearing to examine the MF Global bankruptcy : hearing before the Committee on Agriculture, House of Representatives, One Hundred Twelfth Congress, One Hundred Twelfth Congress, first session, December 8, 2011

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Hearing to examine the MF Global bankruptcy : hearing before the Committee on Agriculture, House of Representatives, One Hundred Twelfth Congress, first session, December 8, 2011

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Hearing to review H.R. 3283, H.R. 1838, and H.R. 4235 : hearing before the Subcommittee on General Farm Commodities and Risk Management of the Committee on Agriculture, House of Representatives, One Hundred Twelfth Congress, second session, March 28, 2012

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Implementing derivatives reform : reducing systemic risk and improving market oversight : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, second session, on examining the implementation of the new derivatives rules and responsibilities of the CFTC and SEC as mandated under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, May 22, 2012

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Implications of the "Volcker Rules" for financial stability : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, second session ... February 4, 2010

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Improving financial oversight : a private sector view of anti-money laundering efforts : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004

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Industry perspectives on the Obama administration's financial regulatory reform proposals : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 17, 2009

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Influenza pandemic : key securities market participants are making progress, but agencies could do more to address potential internet congestion and encourage readiness : report to congressional requesters

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Investigative hearing on the MF Global bankruptcy : : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred Twelfth Congress, first session, December 13, 2011

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Investigative hearing on the MF Global bankruptcy : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred Twelfth Congress, first session, December 13, 2011

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Investor Protection Act of 2009 : report together with dissenting views (to accompany H.R. 3817) (including cost estimate of the Congressional Budget Office)

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Investor protection : a review of plaintiffs' attorney abuses in securities litigation and legislative remedies : 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, second session, June 28, 2006

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Legislative proposals to enhance capital formation, transparency, and regulatory accountability : 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, May 17, 2016

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Legislative proposals to facilitate the Small Business Loan Incentative [sic] Act of 1993 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session, on S. 384 ... S. 422 ... S. 424 ... S. 479 ... March 4, 1993

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Limited partnerships : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 617, a bill to amend the Securities Exchange Act of 1934 to protect investors in limited partnerships in rollup transactions, and for other purposes, February 3, 1993

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Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991

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Management and structural reforms at the Securities and Exchange Commission : a progress report : 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 ... November 16, 2011

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Mandatory arbitration agreements in employment contracts in the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on amending certain federal civil rights statutes to prevent the involuntary application of arbitration to claims ... July 31, 1998

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Market 2000 : an examination of current equity market developments, Division of Market Regulation, United States Securities and Exchange Commission

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Market circuit breakers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on the function of circuit breakers in today's financial markets and the need for reform of their operations, January 29, 1998

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Market data : implications to 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, July 26, 2001

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Market structure : ensuring orderly, efficient, innovative, and competitive markets for issuers and investors : 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, June 20, 2012

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Merger activity and leveraged buyouts : sound corporate restructuring or Wall Street alchemy : a report, prepared by the Congressional Research Service for the use of the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committe on Energy and Commerce, U.S. House of Representatives

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Mitigating systemic risk in financial markets through Wall Street reforms : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Thirteenth Congress, first session, on examining efforts by the SEC and CFTC to improve financial stability and reduce systemic risk in the financial markets through implementation of the Dodd-Frank Wall Street Reform Act and the Consumer Protection Act of 2010, July 30, 2013

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Money laundering : oversight of suspicious activity reporting at bank-affiliated broker-dealers

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Money penalties : securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees

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Mutual fund industry : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, July 22 and August 5, 1993

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Mutual fund industry practices and their effect on individual 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 Eighth Congress, first session, March 12, 2003

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National Securities Markets Improvement Act of 1996 : conference report (to accompany H.R. 3005)

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National market system : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, April 14, May 13, 26, June 29, and July 13, 1993

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Organized crime on Wall Street : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, second session, September 13, 2000

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Over the counter derivatives reform and addressing systemic risk : hearing before the Committee on Agriculture, Nutrition, and Forestry, United States Senate, One Hundred Eleventh Congress, first session, December 2, 2009

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Over-the-counter derivatives : modernizing oversight to increase transparency and reduce risks : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session ... June 22, 2009

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Context

Context of Securities industry

Focus of

Securities industry
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

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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.

Context

Focus of