Clear Search

Books+ Search Results

Subject: "Investment advisors"
Author/Creator: Is
Is Is Not
United States
LC Class: Is
Is Is Not
K - Law
Subject: Is
Is Is Not
Management

Advanced Search

Basic Search
Help
Add a row
Reset

Limit results by

Show Online Results Only
Online Results (2)
1.
Oversight of the Securities Investor Protection Corporation : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, first session, on examining the Securities Investor Protection Corporation's (SIPC) continuing oversight and protection of investors, the agency's response to recent claims and customer protection, and considering the need for any specific SIPC reforms to be made, September 30, 2015
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author
Published
Washington : U.S. Government Publishing Office, 2016.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.114-163
Format
Books
2.
Oversight of the Securities Investor Protection Corporation : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, first session, on examining the Securities Investor Protection Corporation's (SIPC) continuing oversight and protection of investors, the agency's response to recent claims and customer protection, and considering the need for any specific SIPC reforms to be made, September 30, 2015
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author
Published
Washington : U.S. Government Publishing Office, 2016.
Online
https://purl.fdlp.gov/GPO/gpo76500
Location
Yale Internet Resource >> None
Format
Books / Online
3.
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on analyzing the SEC's oversight and examination of the activities of Bernard L. Madoff and Bernard L. Madoff Investment Securities, LLC and why it failed to identify the Ponzi scheme, and to assess recommendations for how to improve the regulatory performance of the SEC, September 10, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.111-368
Format
Books
4.
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session ... September 10, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O., 2010.
Online
http://purl.access.gpo.gov/GPO/LPS125604
Location
Yale Internet Resource >> None
Format
Books / Online