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

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Online Results (46)
1.
Report of the Securities and Exchange Commission on the Public Policy Implications of Investment Company Growth
Author
United States. Congress. House. Committee on Interstate and Foreign Commerce
Published
[S.l] : [s.n.], 1966.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
2.
Invest wisely : an introduction to mutual funds
Published
[Washington, D.C.? : U.S. Securities and Exchange Commission, 1997?]
Online
http://purl.access.gpo.gov/GPO/LPS3229
Location
Yale Internet Resource >> None
Format
Online / Software & Electronic Media
3.
Mutual funds : law and practice
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
4.
Mutual fund trading abuses SEC consistently applied procedures in setting penalties, but could strengthen certain internal controls : 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/LPS61916
Location
Yale Internet Resource >> None
Format
Books / Online
5.
Mutual funds SEC should modify proposed regulations to address some pension plan concerns : report to the Subcommittee on Oversight, Committee on Ways and Means, House of Representatives
Author
United States. General Accounting Office
Published
[Washington, D.C.] : U.S. General Accounting Office, [2004]
Online
http://purl.access.gpo.gov/GPO/LPS53892
Location
Yale Internet Resource >> None
Format
Books / Online
6.
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
7.
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
8.
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
9.
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
10.
Mutual fund regulation & compliance handbook
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
11.
Invest wisely an introduction to mutual funds
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2003]
Online
http://purl.access.gpo.gov/GPO/LPS37146
Location
Yale Internet Resource
Format
Books / Online
12.
Mutual fund trading abuses : lessons can be learned from SEC not having detected violations at an earlier stage : report to the Committee on the Judiciary, House of Representatives
Author
United States. Government Accountability Office
Published
[Washington, D.C.] : U.S. Government Accountability Office, [2005]
Online
https://purl.fdlp.gov/GPO/LPS60310
Location
Yale Internet Resource >> None
Format
Books / Online
13.
SEC's report provides useful information on mutual fund fees and recommends improved fee disclosure
Author
United States. General Accounting Office
Published
[Washington, D.C.] : The Office, [2001]
Online
http://purl.access.gpo.gov/GPO/LPS12792
Location
Yale Internet Resource >> None
Format
Books / Online
14.
Securities and Exchange Commission disclosure of mutual fund after-tax returns
Author
Wannisky, Kathleen E.
Published
Washington, DC : U.S. General Accounting Office, [2001]
Online
http://purl.access.gpo.gov/GPO/LPS49137
Location
Yale Internet Resource >> None
Format
Books / Online
15.
Review of current investigations and regulatory actions regarding the mutual fund industry hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first and second session, on investigations and regulatory actions regarding the mutual fund industry and investors' protection, November 18, 20, 2003, February 25, 26, March 2, 10, 23, 31, and April 8, 2004
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., 2004.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
16.
Review of current investigations and regulatory actions regarding the mutual fund industry : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first and second session, on investigations and regulatory actions regarding the mutual fund industry and investors' protection, November 18, 20, 2003, February 25, 26, March 2, 10, 23, 31, and April 8, 2004
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., 2004.
Online
http://purl.access.gpo.gov/GPO/LPS58729
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.108-711
Format
Books
17.
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
18.
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
19.
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
20.
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
21.
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
22.
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
23.
Investment trusts and investment companies. Letter from the Chairman of the Securities and Exchange Commission, transmitting, pursuant to law, a report on the origin, scope, and conduct of the study, nature, and classification of investment trusts and investment companies... June 13, 1938. -- Referred to the Committee on Interstate and Foreign Commerce and ordered to be printed
Author
United States. Congress. House
Published
Washington, DC, 1938
Online
Online text
Location
Yale Internet Resource >> None
Format
Books / Online
24.
Mutual fund trading abuses hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005
Author
United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005.
Online
Online resource
Location
Yale Internet Resource >> None
Format
Books / Online
25.
Mutual fund trading abuses : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005
Author
United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005.
Online
http://purl.access.gpo.gov/GPO/LPS64657
Location
Library Shelving Facility (LSF) >> Y 4.J 89/1:109-42
Format
Books