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Subject: "Mutual funds"
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United States. Securities and Exchange Commission

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Online Results (9)
1.
Mutual funds : SEC adjusted its oversight in response to rapid industry growth : report to Congressional committees
Author
United States. General Accounting Office
Published
Washington, D.C. : The Office ; Gaithersburg, MD (P.O. Box 6015, Gaithersburg 20884-6015) : The Office [distributor, 1997]
Location
Library Shelving Facility (LSF) >> GA 1.13:GGD-97-67
Format
Books
2.
Mutual fund industry SEC's revised examination approach offers potential benefits, but significant oversight challenges remain : report to congressional requesters
Author
United States. Government Accountability Office
Published
[Washington, D.C.] : U.S. Government Accountability Office, [2005]
Online
http://purl.access.gpo.gov/GPO/LPS66803
Location
Yale Internet Resource >> None
Format
Books / Online
3.
Mutual fund industry SEC's revised examination approach offers potential benefits, but significant oversight challenges remain : report to congressional requesters
Author
United States. Government Accountability Office
Published
Washington, D.C. : GAO, 2005.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
4.
Mutual fund industry SEC's revised examination approach offers potential benefits, but significant oversight challenges remain : report to congressional requesters
Author
United States. Government Accountability Office
Published
Washington, D.C. : GAO, 2005.
Online
Full text
Location
Yale Internet Resource >> None
Format
Books / Online
5.
An economic analysis of the cost and benefits of S.E.C. rule 12b-1
Author
Trzcinka, Charles A.
Published
[New York] : Salomon Brothers Center for the Study of Financial Institutions, Leonard N. Stern School of Business, New York University, [c1990].
Location
Library Shelving Facility (LSF) >> HG1 N48 1990-1 (LC)
Format
Books
6.
Oversight of the U.S. Securities and Exchange Commission : evaluating present reforms and future challenges : 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 Eleventh Congress, second session, July 20, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
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.F 49/20:111-144
Format
Books
7.
Oversight of the U.S. Securities and Exchange Commission evaluating present reforms and future challenges : 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 Eleventh Congress, second session, July 20, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O., 2010.
Online
http://purl.fdlp.gov/GPO/gpo4666
Location
Yale Internet Resource >> None
Format
Books / Online
8.
Strategic planning, resource allocation, and crisis management is the SEC ready? : hearing before the Subcommittee on Government Efficiency and Financial Management of the Committee on Government Reform, House of Representatives, One Hundred Eighth Congress, second session, April 20, 2004
Author
United States. Congress. House. Committee on Government Reform. Subcommittee on Government Efficiency and Financial Management
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2004.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
9.
Strategic planning, resource allocation, and crisis management : is the SEC ready? : hearing before the Subcommittee on Government Efficiency and Financial Management of the Committee on Government Reform, House of Representatives, One Hundred Eighth Congress, second session, April 20, 2004
Author
United States. Congress. House. Committee on Government Reform. Subcommittee on Government Efficiency and Financial Management
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2004.
Online
http://purl.access.gpo.gov/GPO/LPS54870
Location
Library Shelving Facility (LSF) >> Y 4.G 74/7:R 31/24
Format
Books
10.
Mutual funds SEC adjusted its oversight in response to rapid industry growth : report to congressional committees
Author
United States. General Accounting Office
Published
Washington, D.C. : The Office, [1997]
Online
Search for full text online
Location
Yale Internet Resource >> None
Format
Books / Online
11.
Oversight of the U.S. Securities and Exchange Commission's operations, activities, challenges, and FY 2012 budget request : 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, first session, March 10, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:112-14
Format
Books
12.
Oversight of the U.S. Securities and Exchange Commission's operations, activities, challenges, and FY 2012 budget request 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, first session, March 10, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O., 2011.
Online
http://purl.fdlp.gov/GPO/gpo10148
Location
Yale Internet Resource >> None
Format
Books / Online
13.
Perspectives on money market mutual fund reforms : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, second session, on examining the health and stability of money market mutual funds, June 21, 2012
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Printing Office, 2013.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Printing Office
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.112-740
Format
Books
14.
Perspectives on money market mutual fund reforms : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, second session, on examining the health and stability of money market mutual funds, June 21, 2012
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Printing Office, 2013.
Online
http://purl.fdlp.gov/GPO/gpo37243
Location
Yale Internet Resource >> None
Format
Books / Online
15.
Investment company examination manual
Author
United States. Securities and Exchange Commission
Published
[Washington, D.C.? : Securities and Exchange Commission, 1992?]
Location
SML, Microform (Non-Circulating) >> SE 1.36:EX 1
Format
Books / Microforms
16.
The application of environmental, social, and governance principles in investing and the role of asset managers, proxy advisors, and other intermediaries : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on examining the evolution of ESG considerations by institutional investors and how investors engage with companies on ESG issues, April 2, 2019
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs, author
Published
Washington : U.S. Government Publishing Office, 2019.
Online
https://purl.fdlp.gov/GPO/gpo130435
Location
Yale Internet Resource >> None
Format
Books / Online
17.
The application of environmental, social, and governance principles in investing and the role of asset managers, proxy advisors, and other intermediaries : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixteenth Congress, first session, on examining the evolution of ESG considerations by institutional investors and how investors engage with companies on ESG issues, April 2, 2019
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.116-24
Format
Books