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 Administration’s areas auction rate securities BACHUS banks believe beneﬁt BIGGERT billion broker broker-dealers CFPA CFTC Chairman KANJORSKI Chairman Schapiro CMKM Commission Commission’s committee compensation conﬂicts Congress corporate credit default swaps credit rating credit rating agencies customers difﬁcult disclosure distribution enforcement actions examination ﬁnancial ﬁnancial crisis ﬁnancial planning ﬁnancial services FINRA ﬁrms ﬁrst GARRETT going Government Sponsored Enterprises hear hedge funds HENSARLING interest investment advisers investor conﬁdence investor protection issue issuers legislation liquidity Madoff 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 rules SCOTT GARRETT SEC Oversight SEC’s shareholders short selling signiﬁcant signiﬁcantly SIPC speciﬁcally staff standards Subcommittee on Capital target date funds Thank whistleblowers