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Results 1 - 50 of 959  for Bainbridge State College

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1
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Book
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Investor alert : stock market fraud "survivor" checklist / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2001

Online access

2
Material Type:
annual
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List of section 13(f) securities.

United States. Securities and Exchange Commission.

Washington, D.C.? : Securities and Exchange Commission 1979

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3
Material Type:
Book
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Securities Investor Protection Corporation (SIPC) / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2007

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4
Material Type:
Book
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Securities investor protection : update on matters related to the Securities Investor Protection Corporation.

United States. General Accounting Office. Securities Investor Protection Corporation.

Washington, D.C. : U.S. General Accounting Office 2003

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5
Material Type:
Book
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Securities fraud liability of secondary actors / [Susan D. Sawtelle].

Susan D Sawtelle United States. Government Accountability Office.

Washington, DC : U.S. Govt. Accountability Office 2011

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6
Material Type:
Other
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Notice of filing of amendment no. 2 relating to NAqcess system and accompanying rules of practice.

United States. Securities and Exchange Commission.

Washington, D.C. : Securities and Exchange Commission 1997?

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7
Material Type:
Book
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Ensuring effectiveness, fairness, and transparency in securities law enforcement : 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, second session, June 13, 2018.

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment, author.

Washington : U.S. Government Publishing Office 2018

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8
Material Type:
Book
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How to avoid fraud / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2005

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9
Material Type:
Book
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Report of examinations of day-trading broker-dealers / Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission. United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations.

Washington, D.C. : U.S. Securities and Exchange Commission 2000

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10
Material Type:
Book
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Derivatives clearinghouses : opportunities and challenges : 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 25, 2011.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

Washington : U.S. G.P.O. 2012

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11
Material Type:
Book
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Sellos falsos y teléfonos engañosos : cómo intentan parecer legítimos los fraudulentos.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2004

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12
Material Type:
Book
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13
Material Type:
Book
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Stock certificates, lost, stolen / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2004

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14
Material Type:
Book
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Online investment opportunities : 'Net profit or 'Net gloss?.

United States. Federal Trade Commission. Office of Consumer and Business Education.

Washington, D.C. : Federal Trade Commission, Bureau of Consumer Protection, Office of Consumer and Business Education 1998

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15
The SEC proposal on market structure how will investors fare? : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004.
Material Type:
Book
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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 [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004.

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.

Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. 2004

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16
Material Type:
Website
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Securities exchanges: regulation and reform proposals (Section 501 of S. 2155, Section 496 of H.R. 10, and H.R. 4546) / Gary Shorter.

Gary W. Shorter Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2019-

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17
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.
Material Type:
Book
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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.

United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations.

Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office 2000

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18
Material Type:
Book
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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.

United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations.

United States Congressional serial set vol. 14628

Washington : U.S. G.P.O. 2000

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19
Material Type:
Book
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Financial derivatives : actions taken or proposed since May 1994 : report to congressional committees / United States General Accounting Office.

United States. General Accounting Office.

Washington, D.C. : The Office ; Gaithersburg, MD P.O. Box 6015, Gaithersburg 20884-6015 : The Office distributor 1996

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20
Material Type:
Book
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Securities operations : update on actions taken to address day trading concerns.

United States. General Accounting Office.

Washington, D.C. : U.S. General Accounting Office 2001

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21
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.
Material Type:
Book
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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.

United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations.

Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office 1999 [i.e. 2000

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22
Material Type:
Website
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Selected securities legislation in the 114th Congress / Gary Shorter.

Gary W. Shorter Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2018-

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23
Material Type:
Other
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Invest wisely : advice from your securities industry regulators.

United States. Securities and Exchange Commission.

Washington, D.C.? : U.S. Securities and Exchange Commission 1997?

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24
Material Type:
Book
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Report on reciprocal subpoena enforcement laws.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2000

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25
Material Type:
Book
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Fairness in Securities Transactions Act : report together with minority views (to accompany H.R. 2441) (including cost estimate of the Congressional Budget Office).

United States. Congress. House. Committee on Commerce.

Washington, D.C. : U.S. G.P.O. 2000

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26
Material Type:
Book
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Examining the IPO process : is it working for ordinary investors? : 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, second session ... June 20, 2012.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author.

Washington : U.S. Government Printing Office 2013

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27
Material Type:
Book
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Large retail time deposits and U.S. Treasury securities (1986-95) : evidence of a segmenting market / James H. Gilkeson and Gary E. Porter.

James H Gilkeson Gary E Porter; United States. Office of the Comptroller of the Currency.

Washington, D.C. : U.S. Office of the Comptroller of the Currency 1997

Online access

28
The SEC proposal on market structure : how will investors fare? : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004.
Material Type:
Book
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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 [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004.

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.

Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. 2004

Online access

29
Material Type:
Website
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Capital access: IPO and "IPO On-Ramp" / Eva Su.

Eva Su Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2019-

Online access

30
Material Type:
annual
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SEC docket : a weekly compilation of releases from the Securities and Exchange Commission.

United States. Securities and Exchange Commission, author.

Washington, D.C. : Securities and Exchange Commission 1973

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31
Material Type:
Book
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About settling trades in three days, T+3 / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2004

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32
Material Type:
Website
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Conflicts of interest in derivatives clearing / Rena S. Miller.

Rena S. Miller Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2020-

Online access

33
Material Type:
Website
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Capital markets, securities offerings, and related policy issues / Eva Su.

Eva Su Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2018-

Online access

34
Material Type:
Book
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Transfer agent / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2005

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35
Material Type:
Book
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Day trading : your dollars at risk / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2005

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36
Material Type:
Book
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Going private / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2008

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37
Material Type:
Book
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Risky business : "pre-IPO" investing / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2005

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38
Material Type:
Website
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Derivatives : introduction and legislation in the 114th Congress / Rena S. Miller.

Rena S. Miller Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2018-

Online access

39
Material Type:
Book
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Test your investment I.Q.

United States. Federal Trade Commission.

Washington, D.C. : Federal Trade Commission 1997

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40
Material Type:
Book
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Callable or redeemable bonds / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2008

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41
Material Type:
Book
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Examining current trends and changes in the fixed-income markets : joint hearing before the Subcommittee on Securities, Insurance, and Investment and the Subcommittee on Economic Policy of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, second session, on examining the recent efforts by several regulators, including the Department of Treasury and the Federal Reserve, to understand the October 15, 2014, Treasury "flash rally," changes in the Treasury market structure, and liquidity concerns in the fixed-income markets, April 14, 2016.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author. United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Economic Policy, author.

Washington : U.S. Government Publishing Office 2017

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42
Material Type:
Book
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The tri-party repo market : remaining challenges : 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, second session ... August 2, 2012.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author.

Washington : U.S. Government Printing Office 2013

Online access

43
Material Type:
Book
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Day trading / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2008

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44
Material Type:
Book
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SEC enforcement responses to GAO and SEC recommendations related to microcap stock fraud : report to congressional committees.

United States. General Accounting Office.

Washington, D.C. P.O. Box 37050, Washington 20013 : U.S. General Accounting Office 1999

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45
Material Type:
Book
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"Restricted" securities : removing the restrictive legend / U.S. Securities and Exchange Commission.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2005

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46
Material Type:
Website
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Capital access: SEC Regulation A+ ("Mini-IPO") / Eva Su.

Eva Su Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2019-

Online access

47
Material Type:
Book
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Securities markets : decimal pricing has contributed to lower trading costs and a more challenging trading environment : report to congressional requesters.

United States. Government Accountability Office.

Washington, D.C. : U.S. Government Accountability Office 2005

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48
Material Type:
Website
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High-frequency trading : background, concerns, and regulatory developments / Gary Shorter, Rena S. Miller.

Gary W. Shorter Rena S. Miller; Library of Congress. Congressional Research Service, issuing body.

Contained in (work): CRS reports (Library of Congress. Congressional Research Service) (DLC) 2018231131 (OCoLC)1052784408

Washington, D.C. : Congressional Research Service 2019-

Online access

49
Material Type:
Book
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Securities operations : day trading requires continued oversight : report to congressional requesters / United States General Accounting Office.

United States. General Accounting Office.

Washington, D.C. 441 G St., NW, Rm. LM, Washington, 20548 : U.S. General Accounting Office 2000

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50
Material Type:
Book
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Securities and Exchange Commission : oversight of U.S. equities market clearing agencies / [Orice M. Williams].

Orice M Williams United States. Government Accountability Office.

Washington, DC : U.S. Govt. Accountability Office 2009

Online access

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