Nomination of J. Carter Beese, Jr: hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on nomination of J. Carter Beese, Jr. of Maryland, to be a member of the Securities and Exchange Commission ... February 19, 1992, Volume 4
U.S. G.P.O., Jan 1, 1992 - Law - 73 pages
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action agency Alex Brown appropriate Banking believe billion broker-dealers Brown & Sons business development companies Carlyle Group Carter Beese Chairman Breeden CHAIRMAN DONALD client Commissioner conflicts of interest Congress corporate disclosure Emerging Markets Advisory employment equity Exchange Commission federal securities laws fees filing Financing Technology firm funds going Government sponsored enterprises GSEs individual investors insider trading institutional investors intend to recuse investment advisors issue legislation look forward marketplace Markets Advisory Committee matters involving ment nominated outer limit Overseas Private Investment private sector proposals QUESTIONS FROM CHAIRMAN QUESTIONS FROM SENATOR regulation regulatory Richard Breeden RIEGLE roll-ups Rollins College rulemaking rules SEC's Securities and Exchange securities fraud securities industry Senator Dodd Senator Garn SENATOR JIM SASSER Senator Sarbanes SENATOR TERRY SANFORD shareholders SIPC small businesses STATEMENT OF SENATOR statute of limitations strike suits tender offer Thank tion Treasury