Încărcări by Vanessa Schoenthaler

U.S. Securities and Exchange Commission Strategic Plan - Fiscal Year 2014-2018

SEC Office of the Investor Advocate - Report on Objectives FY 2015

Report of 32nd Annual SEC Forum on Small Business Capital Formation

SEC FY 2015 Congressional Budget Justification, FY 2015 Annual Performance Plan, FY 2013 Annual Performance Report

SEC 2014 Chief FOIA Officer Report

Letter From Congressman Garrett to SEC Chair White Regarding the Definition of Accredited Investor (Oct. 2013)

Letter From SEC Chair White to Congressman Garret Regarding the Definition of Accredited Investor (Nov. 2013)

SEC FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report

U.S. Securities and Exchange Commission - Strategic Plan 2014-2018 (Draft)

U.S. Securities and Exchange Commission - Fiscal Year 2013 Agency Financial Report

From the on-Ramp to the Freeway - Refueling Job Creation and Growth by Reconnecting Investors With Small-Cap Companies

Report on Review of Disclosure Requirements in Regulation S-K

U.S. Securities and Exchange Commission - Fiscal Year 2013 Agency Financial Report

NASAA Legislative Agenda 113th Congress

Alternative Criteria for Qualifying as an Accredited Investor Should Be Considered

IOSCO-WFE Report -Cyber-Crime, Securities Markets and Systemic Risk

Capital Raising in the U.S.-an Analysis of Unregistered Offerings Using the Regulation D Exemption (2009-2012)

SEC Staff Review of Common Financial Reporting Issuers Facing Smaller Issuers (Dec. 2012)

SEC-OIG Semiannual Report to Congress (Oct 2012 to Mar 2013)

Evaluation of the SEC’s Whistleblower Program

Letter From Congressman McHenry to SEC Chairman Schapiro Regarding JOBS Act (Nov. 2012)

Letter From Congressman Garrett to SEC Chairman Schapiro Regarding JOBS Act (Nov. 2012)

Response to Questions Posed by Commissioners Aguilar, Paredes and Gallagher

A Resource Guide to the U.S. Foreign Corrupt Practices Act

Third Report on the Implementation of SEC Organizational Reform Recommendations

Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)

Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)

SEC's Records Management Practices

Staff Summary Report on Examinations of Information Barriers - Broker-Dealer Practices Under Section 15(g) of the Exchange Act

SEC Report to Congress Credit Rating Standardization Study

Study Regarding Financial Literacy Among Investors

Information for Audit Committees About the PCAOB Inspection Process (Aug. 1, 2012)

SEC Report on the Municipal Securities Market

Report to Congress on Decimalization

Factors That May Affect Trends in Regulation A Offerings

Current Guidance on Economic Analysis in SEC Rulemakings

SEC-OIG Semiannual Report to Congress (Oct. 1, 2011 - Mar. 31, 2012)

GAO Report to Congress - Opportunities Exist to Improve SEC Oversight of FINRA

Capital Raising in the U.S. - The Significance of Unregistered Offerings Using the Regulation D Exemption

Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act

Report on the Implementation of SEC Organizational Reform Recommendations

Forum on Small Business Capital Formation - Final Report

SEC - Chief FOIA Officer Report

SEC's Fiscal Year 2013 Congressional Justification

Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rule Makings

Letter from SEC Chairman Schapiro to Senator Reed Seeking Greater Penalty Authority

A Plain English Handbook - How to Create Clear SEC Disclosure Documents

SEC-OIG Semi-Annual Report to Congress (Apr. 2011 - Sept. 2011)

SEC - FY 2011 Performance and Accountability Report