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50 Results  for Bainbridge State College

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1
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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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.

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. 2007

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2
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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.

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. 2003

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3
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Scope of exemption from state securities regulation report (to accompany H.R. 2868) (including cost estimate of the Congressional Budget Office).

United States. Congress. House. Committee on Financial Services.

Washington, D.C. : U.S. G.P.O. 2007

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4
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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).

United States. Congress. House. Committee on Financial Services, author.

Washington, D.C. : U.S. Government Publishing Office 2017

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5
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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.

United States. Congress. House. Committee on Commerce. Subcommittee on Finance and Hazardous Materials, author.

Washington : U.S. Government Printing Office 1999

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6
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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

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7
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.
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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.

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. 2003

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8
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U.S. Territories Investor Protection Act of 2016 : report (to accompany H.R. 5322).

United States. Congress. House. Committee on Financial Services, author.

Washington, D.C. : U.S. Government Publishing Office 2016

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9
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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.

United States. Securities and Exchange Commission. Division of Market Regulation. United States. Securities and Exchange Commission. Division of Enforcement.

Washington, D.C.? : The Commission 1994

Online access

10
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.
Material Type:
Microform
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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.

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. 2003

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11
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Book
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Securities investor protection : steps needed to better disclose SIPC policies to investors.

United States. General Accounting Office.

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

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12
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.
Material Type:
Book
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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.

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. 2007

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13
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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).

United States. Congress. House. Committee on Financial Services.

Washington, D.C. : U.S. G.P.O. 2004]-

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14
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Book
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Program improvements needed within the SEC's Division of Enforcement.

United States. Securities and Exchange Commission. Office of Audits.

Washington, D.C. : U.S. Securities and Exchange Commission 2009

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15
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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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.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. Congressional Sales Office 2003

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16
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Website
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The half trillion dollar ruling, latest Dodd-Frank case narrows "skin-in-the-game" rule / Jay B. Sykes.

Jay B. Sykes [author] 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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17
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Book
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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).

United States. Congress. House. Committee on Financial Services, author.

Washington, D.C. : U.S. Government Publishing Office 2017

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18
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Book
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Fair Access to Investment Research Act of 2017.

United States, enacting jurisdiction.

Washington, D.C. : U.S. Government Publishing Office 2017

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19
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Book
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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.

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

Washington : U.S. Government Publishing Office 2018

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20
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Book
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SEC enforcement : more actions needed to improve oversight of disgorgement collections.

United States. General Accounting Office. United States. Securities and Exchange Commission.

Washington, D.C. : U.S. General Accounting Office 2002

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21
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Book
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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.

United States. Securities and Exchange Commission.

Washington, D.C. : U.S. Securities and Exchange Commission 2003

Online access

22
The state of the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, first session, on the examination of the state of the securities industry, focusing on recent initiatives regarding market structure, credit rating agencies, mutual funds, and the implementation of the Sarbanes-Oxley requirements, March 9, 2005.
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Book
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23
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Book
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Scope of exemption from state securities regulation : report (to accompany H.R. 2868) (including cost estimate of the Congressional Budget Office).

United States. Congress. House. Committee on Financial Services.

Washington, D.C. : U.S. G.P.O. 2007

Online access

24
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Book
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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).

United States. Congress. House. Committee on Financial Services.

Washington, D.C. : U.S. G.P.O. 2010]-

Online access

25
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Book
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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).

United States. Congress. House. Committee on Financial Services, author.

Washington, D.C. : U.S. Government Publishing Office 2016

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26
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Book
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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.

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

Washington : U.S. G.P.O. 2009

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27
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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Microform
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28
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Microform
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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).

United States. Congress. House. Committee on Financial Services.

Washington, D.C. : U.S. G.P.O. 2004]-

Online access

29
Material Type:
Website
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Introduction to financial services. The Securities and Exchange Commission (SEC) / Gary Shorter.

Gary W. Shorter [author] 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
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.
Material Type:
Book
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31
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, U.S. House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003.
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Book
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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, U.S. House of Representatives, One Hundred Eighth Congress, first session, March 6, 2003.

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

Washington : U.S. G.P.O. 2003

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32
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Book
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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.

United States. Congress. House. Committee on Financial Services.

Washington : U.S. G.P.O. 2010

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33
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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.

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

Washington : U.S. G.P.O. 2013

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34
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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.

United States. Congress. Senate. Committee on Commerce, Science, and Transportation. Subcommittee on Consumer Protection, Product Safety, and Insurance.

Washington : U.S. G.P.O. 2011

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35
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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.

Hague Conference on Private International Law. Permanent Bureau. United States. President (2009-2017 : Obama); United States. Congress. Senate. Committee on Foreign Relations.

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

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36
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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Book
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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.

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. Congressional Sales Office 2001

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37
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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.

United States. General Accounting Office, author. Richard L. Fogel [author]

Washington, D.C. : United States General Accounting Office 1988

Online access

38
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.
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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.

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

Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. Congressional Sales Office 2001

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39
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Book
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Securities and Exchange Commission : management's report on internal control over financial reporting and certification of disclosure in Exchange Act periodic reports / United States General Accounting Office.

United States. General Accounting Office.

Washington, DC : U.S. General Accounting Office 2003

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40
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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.

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

Washington : U.S. Government Printing Office 2014

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41
Material Type:
Book
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Gramm-Leach-Bliley Act.

United States, enacting jurisdiction.

Washington, D.C. : U.S. Government Printing Office 1999

Online access

42
Material Type:
Book
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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).

United States. Congress. Senate. Committee on Foreign Relations, author.

Washington, D.C. : U.S. Government Publishing Office 2016

Online access

43
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Book
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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.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

Washington : U.S. G.P.O. 2010

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44
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Book
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Financial Services Act of 1999 : report together with supplemental, additional, and dissenting views (to accompany H.R. 10).

United States. Congress. House. Committee on Banking and Financial Services.

Washington, D.C. : U.S. G.P.O. 1999]-

Online access

45
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.
Material Type:
Microform
Add to e-Shelf

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.

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. Congressional Sales Office 2003

Online access

46
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.
Material Type:
Microform
Add to e-Shelf

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.

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. Congressional Sales Office 2001

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47
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Book
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Safeguards that need to accompany changes to Glass-Steagall laws / statement of Richard L. Fogel before the Subcommittee on Oversight and Investigations, House Committee on Energy and Commerce, House of Representatives.

United States. General Accounting Office, author. Richard L. Fogel [author]

Washington, D.C. : United States General Accounting Office 1988

Online access

48
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.
Material Type:
Book
Add to e-Shelf

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.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. Congressional Sales Office 2003

Online access

49
Material Type:
Book
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Dodd-Frank Wall Street Reform and Consumer Protection Act.

United States.

Washington, D.C. : U.S. G.P.O. 2010

Online access

50
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Book
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Dodd-Frank Wall Street Reform and Consumer Protection Act : conference report (to accompany H.R. 4173).

United States. Congress 2010)

Washington : U.S. G.P.O. 2010

Online access

50 Results  for Bainbridge State College

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