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Securities regulation: SEC's oversight of the financial industry regulation authority : report to co

United States. Government Accountability Office, author.
Washington, DC : United States Government Accountability Office, 2024.

CDFI Fund Transparency Act : report (to accompany H.R. 3161) (including cost estimate of the Congres

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2024]

Meme stock MMTLP and FINRA trading halt

Su, Eva, author.
[Washington, D.C.] : Congressional Research Service, 2023-

Financial well-being by state : using data from the Financial Industry Regulatory Authority Foundat

[Washington, D.C.] : Consumer Financial Protection Bureau, 2019.

Revising the Volcker Rule : section 203 and section 204 of the Economic Growth, Regulatory Relief, a

Lobert, Joshua T., author.
[Washington, D.C.] : Congressional Research Service, 2019-

Comparing G-20 reform of over-the-counter derivatives markets

Jackson, James K., 1949- author.
[Washington, D.C.] : Congressional Research Service, 2019-

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capita

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment, author.
Washington : U.S. Government Publishing Office, 2018.

GSE Jumpstart Reauthorization Act of 2017 : report together with minority views (to accompany H.R. 4

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2018]

Middle market IPO Underwriting Cost Act : report (to accompany H.R. 6324) (including cost estimate o

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2018]

GSE Jumpstart Reauthorization Act of 2017 : report together with minority views (to accompany H.R. 4

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2018]

Securities regulation: SEC inspections of financial industry regulatory authority's governance were

United States. Government Accountability Office, author.
[Washington, D.C.] : United States Government Accountability Office, 2018.

Middle market IPO Underwriting Cost Act : report (to accompany H.R. 6324) (including cost estimate o

United States. Congress. House. Committee on Financial Services, author.
[Washington, D.C.] : [U.S. Government Publishing Office], [2018]

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capita

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment, author.
Washington : U.S. Government Publishing Office, 2018.

Hearing to review the G20 swap data reporting goals : hearing before the Subcommittee on Commodity E

United States. Congress. House. Committee on Agriculture. Subcommittee on Commodity Exchanges, Energy, and Credit, author.
Washington : U.S. Government Publishing Office, 2016.

Hearing to review the G20 swap data reporting goals : hearing before the Subcommittee on Commodity E

United States. Congress. House. Committee on Agriculture. Subcommittee on Commodity Exchanges, Energy, and Credit, author.
Washington : U.S. Government Publishing Office, 2016.

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capita

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author.
Washington : U.S. Government Publishing Office, 2015.

Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capita

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author.
Washington : U.S. Government Publishing Office, 2015.

Impacts of H.R. 3795, "The Over-the-Counter Derivatives Market Act of 2009," on energy markets : hea

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Energy and Environment, author.
[Washington, D.C.] : U.S. Government Printing Office, [2013]

Legislative proposals to bring certainty to the over-the-counter derivatives market hearing before t

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2012.

Securities regulation opportunities exist to improve SEC's oversight of the Financial Industry Regul

United States. Government Accountability Office.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2012]

Legislative proposals to bring certainty to the over-the-counter derivatives market hearing before t

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2012.

Impacts of H.R. 3795, "The Over-the-Counter Derivatives Market Act of 2009," on energy markets heari

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Energy and Environment.
Washington : U.S. G.P.O., 2012.

Impacts of H.R. 3795, "The Over-the-Counter Derivatives Market Act of 2009," on energy markets : hea

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Energy and Environment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2012.

Legislative proposals to bring certainty to the over-the-counter derivatives market : hearing before

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.

Over the counter derivatives reform and addressing systemic risk : hearing before the Committee on A

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.

Over the counter derivatives reform and addressing systemic risk hearing before the Committee on Agr

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry.
Washington : U.S. G.P.O., 2011.

Over the counter derivatives reform and addressing systemic risk hearing before the Committee on Agr

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry.
Washington : U.S. G.P.O., 2011.

Building the new derivatives regulatory framework oversight of Title VII of the Dodd-Frank Act : hea

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O., 2011.

Building the new derivatives regulatory framework : oversight of Title VII of the Dodd-Frank Act :

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.

Swap Execution Facility Clarification Act report (to accompany H.R. 2586) (including cost estimate o

United States. Congress. House. Committee on Financial Services.
[Washington, D.C. : U.S. G.P.O., 2011-

Building the new derivatives regulatory framework oversight of Title VII of the Dodd-Frank Act : hea

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.
Washington : U.S. G.P.O., 2011.

Swap Execution Facility Clarification Act report (to accompany H.R. 2586) (including cost estimate o

United States. Congress. House. Committee on Financial Services.
[Washington, D.C. : U.S. G.P.O., 2011-

Reform of the over-the-counter derivative market : limiting risk and ensuring fairness : hearing bef

United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.

Reform of the over-the-counter derivative market limiting risk and ensuring fairness : hearing befor

United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O., 2010.

The roles and responsibilities of inspectors general within financial regulatory agencies hearing be

United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Government Management, Organization, and Procurement.
Washington : U.S. G.P.O., 2010.

The roles and responsibilities of inspectors general within financial regulatory agencies : hearing

United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Government Management, Organization, and Procurement.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.

Reform of the over-the-counter derivative market limiting risk and ensuring fairness : hearing befor

United States. Congress. House. Committee on Financial Services.
Washington : U.S. G.P.O., 2010.

The roles and responsibilities of inspectors general within financial regulatory agencies hearing be

United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Government Management, Organization, and Procurement.
Washington : U.S. G.P.O., 2010.

Over-the-counter derivatives : modernizing oversight to increase transparency and reduce risks : hea

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.

Reducing risks and improving oversight in the OTC credit derivatives market : hearing before the Sub

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.

Reducing risks and improving oversight in the OTC credit derivatives market hearing before the Subco

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O., 2010.

Over-the-counter derivatives modernizing oversight to increase transparency and reduce risks : heari

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.

Over-the-counter derivatives modernizing oversight to increase transparency and reduce risks : heari

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O., 2010.

Reducing risks and improving oversight in the OTC credit derivatives market hearing before the Subco

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Washington : U.S. G.P.O., 2010.

Execution quality statistics how to find information on order execution and routing practices

[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]

"Senior" specialists and advisors what you should know about professional designations

[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]

Assessing the Madoff Ponzi scheme and regulatory failures hearing before the Subcommittee on Capital

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O., 2009.

Assessing the Madoff Ponzi scheme and regulatory failures : hearing before the Subcommittee on Capit

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.

Troubled Asset Relief Program status of participants' dividend payments and repurchases of preferred

Engel, Gary T.
[Washington, D.C.] : U.S. Govt. Accountability Office, [2009]

Hearing to review proposed legislation by the U.S. Department of the Treasury regarding the regulati

United States. Congress. House. Committee on Agriculture.
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.