Securities industry -- Law and legislation -- United States
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The concept Securities industry -- Law and legislation -- United States represents the subject, aboutness, idea or notion of resources found in Indiana State Library.
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Securities industry -- Law and legislation -- United States
Resource Information
The concept Securities industry -- Law and legislation -- United States represents the subject, aboutness, idea or notion of resources found in Indiana State Library.
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- Securities industry -- Law and legislation -- United States
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65 Items that share the Concept Securities industry -- Law and legislation -- United States
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Context of Securities industry -- Law and legislation -- United StatesSubject of
- 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
- Consumer and Investor Access to Information Act of 1999 : report (to accompany H.R. 1858) (including cost estimate of the Congressional Budget Office)
- Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary : report (to accompany Treaty Doc. 112-6)
- Dodd-Frank Wall Street Reform and Consumer Protection Act
- Dodd-Frank Wall Street Reform and Consumer Protection Act : conference report (to accompany H.R. 4173)
- 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
- 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)
- Fair Access to Investment Research Act of 2017 : report (to accompany H.R. 910) (including cost estimate of the Congressional Budget Office)
- 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
- 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
- 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
- Financial Services Act of 1999 : report together with supplemental, additional, and dissenting views (to accompany H.R. 10)
- Financial Services Act of 1999 : report together with supplemental, additional, and dissenting views (to accompany H.R. 10)
- 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)
- 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
- 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
- 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
- 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
- Government Securities Act Amendments of 1991 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1247
- Government Securities Act Amendments of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 442
- 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
- Gramm-Leach-Bliley Act : conference report (to accompany S. 900)
- 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
- 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
- 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
- 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
- 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
- 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, on examining the implications of the "Volcker Rules" for financial stability, February 4, 2010
- Investor Protection Act of 2009 : report together with dissenting views (to accompany H.R. 3817) (including cost estimate of the Congressional Budget Office)
- 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
- 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
- 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
- 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
- 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
- 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
- National Securities Markets Improvement Act of 1996 : conference report (to accompany H.R. 3005)
- Private litigation under the federal securities laws : hearings before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Third Congress, first session, on a growing increase in class-action securities litigation against publicly-traded companies, particularly high technology, accountants, outside directors, and lawyers, June 17 and July 21, 1993
- Providing for the consideration of H.R. 10, Financial Services Act of 1998 : report (to accompany H. Res. 428)
- Providing for the consideration of H.R. 10, Financial Services Act of 1999 : report (to accompany H. Res. 235)
- Pushing back the pushouts : the SEC's broker-dealer rules : joint hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, August 2, 2001
- Rating the rating agencies : the state of transparency and competition : 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, April 2, 2003
- Reauthorizations for the Securities and Exchange Commission, 1994-95 : 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 to amend the Securities Exchange Act of 1934 to authorize appropriations for the Securities and Exchange Commission for fiscal years 1994-95 ... July 29, 1993
- Report on the role and function of credit rating agencies in the operation of the securities markets : as required by Section 702(b) of the Sarbanes-Oxley Act of 2002
- Report on the status of the recommendations from the Large Firm Project report
- SEC enforcement : more actions needed to improve oversight of disgorgement collections
- Scope of exemption from state securities regulation : report (to accompany H.R. 2868) (including cost estimate of the Congressional Budget Office)
- Securities Fraud Deterrence and Investor Restitution Act of 2004 : report together with dissenting views (to accompany H.R. 2179) (including cost estimate of the Congressional Budget Office)
- Securities and Exchange Commission : management's report on internal control over financial reporting and certification of disclosure in Exchange Act periodic reports
- Securities and Exchange Commission : oversight of U.S. equities market clearing agencies
- Securities investor protection : steps needed to better disclose SIPC policies to investors
- Short-selling activity in the stock market : market effects and the need for regulation : eleventh report
- Strengthening the SEC's vital enforcement responsibilities : 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 ... May 7, 2009
- Strengthening the SEC's vital enforcement responsibilities : 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, on examining the important role of the Securities and Exchange Commission in protecting investors by aggressively enforcing federal securities laws, May 7, 2009
- Study and report on protections for senior citizens and qualified retirement plans
- The Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary : message from the President of the United States transmitting the Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary (the "convention"), done at the Hague on July 5, 2006, and signed by the United States on that same day
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- The Large Firm Project : a review of hiring, retention and supervisory practices
- 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
- 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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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.library.in.gov/resource/ol9go8wH_Jk/" typeof="CategoryCode http://bibfra.me/vocab/lite/Concept"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.library.in.gov/resource/ol9go8wH_Jk/">Securities industry -- Law and legislation -- United States</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.library.in.gov/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.library.in.gov/">Indiana State Library</a></span></span></span></span></div>
