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Rules and practice
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United States. Securities and Exchange Commission

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Online Results (117)
1.
Oversight of the Securities and Exchange Commission : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, second session, on receiving updates from the Chairman of the Securities and Exchange Commission regarding the agency's work and agenda, November 17, 2020
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2023.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.116-456
Format
Books
2.
Oversight of the Securities and Exchange Commission : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on receiving updates from the Chairman of the Securities and Exchange Commission regarding the agency's work and agenda, December 10, 2019
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2022.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.H.RG.116-272
Format
Books
3.
Legislative proposals to examine corporate governance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifteenth Congress, second session, June 28, 2018
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2020.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.115-406
Format
Books
4.
Private fund regulatory developments and compliance challenges 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
5.
Understanding the securities laws 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
6.
Master the 8-K
Author
Brown, Gary M.
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
7.
Proxy process and rules : examining current practices and potential changes : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifteenth Congress, second session, on examining several aspects of the corporate proxy voting system, including the role of proxy advisory firms, the shareholder proposal process and retail shareholder participation, December 6, 2018
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2019.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.115-455
Format
Books
8.
Securities and Exchange Commission rule 151A and annuities : issues and legislation
Author
Webel, Baird
Published
[Washington, D.C.] : Congressional Research Service, 2019-
Online
https://purl.fdlp.gov/GPO/gpo139225
Location
Yale Internet Resource >> None
Format
Online
9.
Securities Investor Protection Corporation (SIPC) : basic functions and fairness and adequacy issues
Author
Shorter, Gary W.
Published
[Washington, D.C.] : Congressional Research Service, 2019-
Online
https://purl.fdlp.gov/GPO/gpo139340
Location
Yale Internet Resource >> None
Format
Online
10.
Understanding the securities laws 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
11.
Corporate governance : fostering a system that promotes capital formation and maximizes shareholder value : 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, September 21, 2016
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Publishing Office, 2018.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:114-102
Format
Books
12.
Examining the agenda of regulators, SROs, and standards-setters for accounting, auditing, and municipal securities : 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, September 22, 2016
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Publishing Office, 2018.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:114-104
Format
Books
13.
Examining the SEC's agenda, operations, and fiscal year 2018 budget request : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, second session, November 15, 2016
Author
United States. Congress. House. Committee on Financial Services, author
Published
Washington : U.S. Government Publishing Office, 2018.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Printing Office
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:114-110
Format
Books
14.
The impact of regulations on short-term financing : 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, December 8, 2016
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Publishing Office, 2018.
Washington, DC : For sale by the Superintendent oi Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:114-113
Format
Books
15.
Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, June 21, 2018
Author
United States. Congress. House. Committee on Financial Services, author
Published
Washington : U.S. Government Publishing Office, 2018.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:115-103
Format
Books
16.
SEC reporting handbook 2019 : rules and forms
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
17.
Understanding the securities laws 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
18.
Private placements and hybrid securities offerings 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
19.
Understanding the securities laws 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
20.
Understanding the securities laws 2016
Published
New York, N.Y. : Practising Law Institute, [2016]
©2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
21.
Hedge fund compliance & regulatory challenges 2015
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
22.
Hot issues in executive compensation 2015
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
23.
Understanding the securities laws fall 2015
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
24.
Understanding the securities laws summer 2015
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
25.
Enforcement 2014 : perspectives from government agencies
Published
New York, N.Y. : Practising Law Institute, 2014.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
26.
Private placements and other financing alternatives 2014
Published
New York, N.Y. : Practising Law Institute, 2014.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
27.
Understanding the securities laws fall 2014
Published
New York, N.Y. : Practising Law Institute, [2014]
©2014.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
28.
Private placements and other financing alternatives 2013
Published
New York, N.Y. : Practising Law Institute, 2013.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
29.
Understanding the securities laws fall 2013
Published
New York, N.Y. : Practising Law Institute, [2013]
©2013.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
30.
Enforcement 2012 : multi-agency enforcement efforts
Published
New York, N.Y. : Practising Law Institute, [2012]
©2012.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
31.
Executive compensation disclosure rules
Author
Borges, Mark A.
Published
Chicago : American Bar Association, Business Law Section, c2012.
Location
Law Library >> KF1449 .B67 2012
Format
Books
32.
Hedge fund registration and compliance 2012
Published
New York, N.Y. : Practising Law Institute, [2012]
©2012.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
33.
Investigating and prosecuting financial fraud after the Fraud Enforcement and Recovery Act : hearing before the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second session, September 22, 2010
Author
United States. Congress. Senate. Committee on the Judiciary
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2012.
Location
Library Shelving Facility (LSF) >> Y 4.J 89/2:S.HRG.111-1115
Format
Books
34.
Investigating and prosecuting financial fraud after the Fraud Enforcement and Recovery Act hearing before the Committee on the Judiciary, United States Senate, One Hundred Eleventh Congress, second session, September 22, 2010
Author
United States. Congress. Senate. Committee on the Judiciary
Published
Washington : U.S. G.P.O., 2012.
Online
http://purl.fdlp.gov/GPO/gpo19191
Location
Yale Internet Resource >> None
Format
Books / Online
35.
Municipal securities overview of market structure, pricing, and regulation : report to congressional committees
Author
United States. Government Accountability Office
Published
[Washington, D.C.] : U.S. Govt. Accountability Office, [2012]
Online
http://purl.fdlp.gov/GPO/gpo22418
Location
Yale Internet Resource >> None
Format
Books / Online
36.
Securities enforcement : counseling and defense
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
37.
Securities regulation opportunities exist to improve SEC's oversight of the Financial Industry Regulatory Authority : report to congressional committees
Author
United States. Government Accountability Office
Published
[Washington, D.C.] : U.S. Govt. Accountability Office, [2012]
Online
http://purl.fdlp.gov/GPO/gpo25370
Location
Yale Internet Resource >> None
Format
Books / Online
38.
Understanding the securities laws 2012
Published
New York, N.Y. : Practising Law Institute, 2012.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
39.
Defined contribution plans key information on target date funds as default investments should be provided to plan sponsors and participants : report to congressional requesters
Author
United States. Government Accountability Office
Published
[Washington, D.C.] : U.S. Govt. Accountability Office, [2011]
Online
http://purl.fdlp.gov/GPO/gpo12398
Location
Yale Internet Resource >> None
Format
Books / Online
40.
EDGAR filer handbook
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
41.
Enforcement 2011 : multi-agency enforcement efforts in the new decade
Published
New York, N.Y. : Practising Law Institute, [2011]
©2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
42.
Hedge fund registration and compliance 2011
Published
New York, N.Y. : Practising Law Institute, s2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
43.
Hedge funds 2011 : strategies and structures for an evolving marketplace
Published
New York, N.Y. : Practising Law Institute, [2011]
©2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
44.
Understanding the securities laws 2011
Published
New York, N.Y. : Practising Law Institute, [2011]
©2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
45.
Understanding the securities laws, Fall 2011
Published
New York, N.Y. : Practising Law Institute, [2011]
©2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
46.
Bankruptcy agreements
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
47.
Business organization agreements
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
48.
Commercial agreements
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
49.
Creditor-debtor agreements
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
50.
Employment agreements
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online