Enhancing Investor Protection and the Regulation of Securities Markets, part II : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on further examining what went wrong in the securities markets, how we can prevent the practices that led to our financial system problems, and how to protect investors, March 26, 2009.

Regulating hedge funds and other private investment pools : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the regulation of hedge funds and other private investment pools to assist regulators in addressing fraud and preventing systemic risk in our capital markets, July 15, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2010

Shipping list no.: 2010-0185-P.Includes bibliographical references.Mode of access: Internet

A review of current securities issues : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on examination of current securities issues, focusing on improving financial disclosure for individual investors, April 25, 2006.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2007

Shipping list no.: 2008-0018-P.Distributed to some depository libraries in microfiche.Mode of access...

Lessons learned in risk management oversight at federal financial regulators : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on discussing the role of federal financial regulators in the financial crisis in the United States and reforming regulation to ensure a strong financial system, March 18, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

January 2009

Shipping list no.: 2010-0068-P.Includes bibliographical references.Mode of access: Internet

Strengthening the SEC's vital enforcement responsibilities : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the important role of the Securities and Exchange Commission in protecting investors by aggressively enforcing federal securities laws, May 7, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2009

Shipping list no.: 2010-0091-P.Includes bibliographical references.Mode of access: Internet

Additional reforms to the Securities Investor Protection Act : 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, December 9, 2009.

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.

January 2010

"Serial no. 111-94."Shipping list no.: 2010-0354-P.Includes bibliographical references.Mode of acces...

The state of the securities markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session on examining current issues and matters raised in previous securities hearings, Tuesday, July 31, 2007.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2010-0088-P.Includes bibliographical references.Mode of access: Internet

Enhancing Investor Protection and the Regulation of Securities Markets-Part II, S. Hrg. 111-144, March 26, 2009, 111-1 Hearing, *

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

MARCIVE ORDER RECORDShipping List Date: 01/04/2010Shipping List #: 2010-0070-PMode of access: Intern...

Securitization of assets : problems and solutions : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the securitization of mortgages and other assets, October 7, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

January 2010

Shipping list no.: 2010-0324-P.Includes bibliographical references.Mode of access: Internet

Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on steps taken by the agency then and now to encourage the investment banks that it regulates to better manage their risks and how the SEC can be strengthened to meet its mission as the advocate for investors while overseeing securities markets and financial stability of Wall Street firms, Wednesday, May 7, 2008.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2010

Shipping list no.: 2010-0197-P.Includes bibliographical references.Mode of access: Internet

Consumer protections in financial services : past problems, future solutions : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on establishing strong consumer protections while ensuring a safe and sound financial system in the United States, March 3, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2010-0012-P.Includes bibliographical references.Mode of access: Internet

Investor protection : hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first[- second] session, on H.R. 6789, H.R. 6793, S. 1642, bills to amend the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securites, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes.

United States. Congress. House. Committee on Interstate and Foreign Commerce.

January 1964

Hearings held Apr. 3, 1963-Feb. 19, 1964.Pt.1. April 3; November 19-21, 1963. 1964. 673 p. -- pt.2. ...

Securities Investor Protection Act of 1991 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session, on S. 1533 ... October 2, 1991.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.

January 1992

Shipping list no.: 92-145-P.Distributed to some depository libraries in microfiche.Item 1035-C, 1035...

The structure of securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the emerging structure of U.S. securities markets and the appropriate role for regulation, February 29, April 13, and May 8, 2000.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2001

Includes bibliographical references.Shipping list no.: 2001-0217-P.Distributed to some depository li...

The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2009-0411-P.Includes bibliographical references.Mode of access: Internet

Examining investor risks in capital raising : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... December 14, 2011.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author.

Shipping list no.: 2013-0149-P.Includes bibliographical references.Mode of access: Internet

Regulating hedge funds and other private investment pools : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the regulation of hedge funds and other private investment pools to assist regulators in addressing fraud and preventing systemic risk in our capital markets, July 15, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2010

Shipping list no.: 2010-0185-P.Includes bibliographical references.Mode of access: Internet

A review of current securities issues : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on examination of current securities issues, focusing on improving financial disclosure for individual investors, April 25, 2006.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2007

Shipping list no.: 2008-0018-P.Distributed to some depository libraries in microfiche.Mode of access...

Lessons learned in risk management oversight at federal financial regulators : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on discussing the role of federal financial regulators in the financial crisis in the United States and reforming regulation to ensure a strong financial system, March 18, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

January 2009

Shipping list no.: 2010-0068-P.Includes bibliographical references.Mode of access: Internet

Strengthening the SEC's vital enforcement responsibilities : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the important role of the Securities and Exchange Commission in protecting investors by aggressively enforcing federal securities laws, May 7, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2009

Shipping list no.: 2010-0091-P.Includes bibliographical references.Mode of access: Internet

Additional reforms to the Securities Investor Protection Act : 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, December 9, 2009.

United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.

January 2010

"Serial no. 111-94."Shipping list no.: 2010-0354-P.Includes bibliographical references.Mode of acces...

The state of the securities markets : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session on examining current issues and matters raised in previous securities hearings, Tuesday, July 31, 2007.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2010-0088-P.Includes bibliographical references.Mode of access: Internet

Enhancing Investor Protection and the Regulation of Securities Markets-Part II, S. Hrg. 111-144, March 26, 2009, 111-1 Hearing, *

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

MARCIVE ORDER RECORDShipping List Date: 01/04/2010Shipping List #: 2010-0070-PMode of access: Intern...

Securitization of assets : problems and solutions : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the securitization of mortgages and other assets, October 7, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

January 2010

Shipping list no.: 2010-0324-P.Includes bibliographical references.Mode of access: Internet

Turmoil in the U.S. credit markets : examining the regulation of investment banks by the U.S. Securities and Exchange Commission : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on steps taken by the agency then and now to encourage the investment banks that it regulates to better manage their risks and how the SEC can be strengthened to meet its mission as the advocate for investors while overseeing securities markets and financial stability of Wall Street firms, Wednesday, May 7, 2008.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2010

Shipping list no.: 2010-0197-P.Includes bibliographical references.Mode of access: Internet

Consumer protections in financial services : past problems, future solutions : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on establishing strong consumer protections while ensuring a safe and sound financial system in the United States, March 3, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2010-0012-P.Includes bibliographical references.Mode of access: Internet

Investor protection : hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first[- second] session, on H.R. 6789, H.R. 6793, S. 1642, bills to amend the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securites, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes.

United States. Congress. House. Committee on Interstate and Foreign Commerce.

January 1964

Hearings held Apr. 3, 1963-Feb. 19, 1964.Pt.1. April 3; November 19-21, 1963. 1964. 673 p. -- pt.2. ...

Securities Investor Protection Act of 1991 : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, first session, on S. 1533 ... October 2, 1991.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.

January 1992

Shipping list no.: 92-145-P.Distributed to some depository libraries in microfiche.Item 1035-C, 1035...

The structure of securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the emerging structure of U.S. securities markets and the appropriate role for regulation, February 29, April 13, and May 8, 2000.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2001

Includes bibliographical references.Shipping list no.: 2001-0217-P.Distributed to some depository li...

The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2009

Shipping list no.: 2009-0411-P.Includes bibliographical references.Mode of access: Internet

Examining investor risks in capital raising : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... December 14, 2011.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author.

Shipping list no.: 2013-0149-P.Includes bibliographical references.Mode of access: Internet

Regulating hedge funds and other private investment pools : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the regulation of hedge funds and other private investment pools to assist regulators in addressing fraud and preventing systemic risk in our capital markets, July 15, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

January 2010

Shipping list no.: 2010-0185-P.Includes bibliographical references.Mode of access: Internet

A review of current securities issues : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on examination of current securities issues, focusing on improving financial disclosure for individual investors, April 25, 2006.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs.

January 2007

Shipping list no.: 2008-0018-P.Distributed to some depository libraries in microfiche.Mode of access...

Lessons learned in risk management oversight at federal financial regulators : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on discussing the role of federal financial regulators in the financial crisis in the United States and reforming regulation to ensure a strong financial system, March 18, 2009.

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.

January 2009

Shipping list no.: 2010-0068-P.Includes bibliographical references.Mode of access: Internet

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