SEC Oversight: Current State and Agenda : 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, First Session, July 14, 2009 |
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accounting ACKERMAN additional Administration advisors areas auction rate securities BACHUS banks believe BIGGERT bill billion broker broker-dealers CFPA CFTC Chairman KANJORSKI Chairman Schapiro CMKM Commission Commission's committee compensation Congress corporate credit default swaps credit rating agencies customers dealers disclosure distribution Ed Manion enforcement actions examination Fair Fund fiduciary financial planning Financial Services FINRA firms GARRETT gentleman going Government Sponsored Enterprises hear hedge fund HENSARLING HIMES improve interest investment advisers investor protection issue issuers legislation liquidity Madoff fraud mark-to-market Markopoulos Mary Schapiro MILLER OF CALIFORNIA money market funds municipal securities mutual funds NevWest NRSROs Office percent Ponzi scheme proposals protect investors proxy question rating agencies reform regulators regulatory require risk SEC Oversight SEC's shareholders short selling SIPC standards Subcommittee on Capital target date funds Thank trading whistleblowers yield back