SECURITIES AND EXCHANGE COMMISSION by Government Accountability Office, James N. Larimore (Editor) ( 9781606920459 )

Item Details

Title:

SECURITIES AND EXCHANGE COMMISSION
PROGRAMS AND OPERATIONS

By:

Government Accountability Office, James N. Larimore (Editor)

Format:

Paperback

List price:

£84.99

Our price:

£72.24

Discount:

15% off

You save:

£12.75

ISBN 10:

1606920456

ISBN 13:

9781606920459

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Publisher:

NOVA SCIENCE PUBLISHERS INC

Pub. date:

1 October, 2008

Pages:

145

Synopsis:

The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role in meeting the agency's responsibility to enforce securities laws and regulations. While Enforcement has brought a number of high-profile cases, questions have been raised over how effectively the division manages its operations and resources. This book: (1) discusses the structure of SEC's inspection program for SROs, (2) evaluates certain aspects of SEC's inspection program, and (3) describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. (4) investigation planning and information systems, (5) oversight of the Fair Fund program. Among other things, GAO analyzed SEC and Enforcement documents and data and interviewed agency officials as well as consultants involved in administering the Fair Fund program. (6) described OCIE's revisions after 2003 to the examination approach for investment companies and investment advisers; (7) discussed OCIE's compliance with its examination exit procedures; and (8) described reforms OCIE implemented since January 2006 to enhance, among other things, communication with registrants.

Illustrations:

Tables & graphs

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Imprint:

Nova Science Publishers Inc

Returns:

Non-returnable

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