£62.13

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£62 today · previous high £62 · all-time low £57

Securities and Exchange Commission: Programs and Operations

Amazon

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£62.13 £56.87 £58.02 £59.17 £60.31 £61.46 £62.61 25 July 2026 05 August 2026 16 August 2026 27 August 2026 08 September 2026
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Price Distribution

Price distribution over 46 days • 3 price levels

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17 days 12 days 17 days · current 0 4 9 13 17 £57 £58 £62 Days at Price

Price Analysis

Most common price: £57 (17 days, 37.0%)

Price range: £57 - £62

Price levels: 3 different prices over 46 days

Description

The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role in meeting the agency's responsibility to enforce securities laws and regulations. While Enforcement has brought a number of high-profile cases, questions have been raised over how effectively the division manages its operations and resources. This book: (1) discusses the structure of SEC's inspection program for SROs, (2) evaluates certain aspects of SEC's inspection program, and (3) describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. (4) investigation planning and information systems, (5) oversight of the Fair Fund program. Among other things, GAO analyzed SEC and Enforcement documents and data and interviewed agency officials as well as consultants involved in administering the Fair Fund program. (6) described OCIE's revisions after 2003 to the examination approach for investment companies and investment advisers; (7) discussed OCIE's compliance with its examination exit procedures; and (8) described reforms OCIE implemented since January 2006 to enhance, among other things, communication with registrants.

Product Specifications

Format
paperback
Domain
Amazon UK
Release Date
07 February 2009
Listed Since
22 September 2008

Barcode

No barcode data available

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