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Showing 21 - 39 results of 39 for search '"Exchange"', query time: 0.19s Refine Results
  1. 21
    Division of Enforcement's disgorgement waivers.
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission. Division of Enforcement....”
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    Government Document eBook
  2. 22
    Management and oversight of interagency acquisition agreements at the SEC.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission Auditing....”
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    Government Document eBook
  3. 23
    Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process.
    Published 2017
    Subjects: “...United States. Securities and Exchange Commission. Office of Compliance Inspections...”
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    Government Document eBook
  4. 24
    Audit of the SEC's compliance with the Federal Information Security Modernization Act for fiscal year ...
    Published 2016
    Subjects: “...United States. Securities and Exchange Commission Information technology Periodicals....”
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    Government Document Serial
  5. 25
    Practices related to naked short selling complaints and referrals.
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission Evaluation....”
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    Government Document eBook
  6. 26
    Evaluation of the SEC encryption program.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission Auditing....”
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    Government Document eBook
  7. 27
    Regulation D exemption process /
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission. Division of Corporation Finance Auditing....”
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    Government Document eBook
  8. 28
    Review of the SEC's compliance with the Freedom of Information Act /
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission....”
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    Government Document eBook
  9. 29
    Assessment of the SEC's privacy program.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission....”
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    Government Document eBook
  10. 30
    Program improvements needed within the SEC's Division of Enforcement.
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission. Division of Enforcement....”
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    Government Document eBook
  11. 31
    Evaluation of the SEC privacy program.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission Auditing....”
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    Government Document eBook
  12. 32
    Review of PRISM automated procurement system support contracts.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission Auditing....”
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    Government Document eBook
  13. 33
    Audit of SEC's controls over support service, expert and consulting service contracts.
    Published 2013
    Subjects: “...United States. Securities and Exchange Commission Procurement Auditing....”
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    Government Document eBook
  14. 34
    2009 FISMA executive summary report.
    Published 2010
    Subjects: “...United States. Securities and Exchange Commission Auditing....”
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    Government Document eBook
  15. 35
    The SEC's implementation of and compliance with Homeland Security presidential directive 12
    Published 2011
    Subjects: “...United States. Securities and Exchange Commission http://id.loc.gov/authorities/names/n78088948...”
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    Government Document Electronic eBook
  16. 36
    Review of the commission's processes for selecting investment advisers and investment companies for examination.
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission. Office of Compliance Inspections...”
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    Government Document eBook
  17. 37
    Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC.
    Published 2009
    Subjects: “...United States. Securities and Exchange Commission. Office of Compliance Inspections...”
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    Government Document eBook
  18. 38
    SEC's oversight of Bear Stearns and related entities.
    Published 2008
    Subjects: “...United States. Securities and Exchange Commission Evaluation....”
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    Government Document eBook
  19. 39
    SEC's oversight of Bear Stearns and related entities, Broker-Dealer Risk Assessment Program.
    Published 2008
    Subjects: “...United States. Securities and Exchange Commission Evaluation....”
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    Government Document eBook
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