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SECís Oversight of Bear Sterns and Related Entities: Broker-Dealer Risk Assessment Program
SEC’s Oversight of Bear Sterns and Related Entitie

 
Our Price: $25.00
By H. David Kotz (au)
Year: 2008
Pages: 36
Binding Paperback

Product Code: 1437921809

Description
 
Details the results of the SEC audit on the Div. of Trading and Market's (TM) Broker-Dealer Risk Assessment program. The purpose of this program is for staff in the TM to assess the risks to registered broker-dealers that may stem from affiliated entities, including holding co. TM tracks the filing status of the 146 broker-dealers that file 17(h) documents with the SEC, but only reviews in detail the filings from six prominent firms because they have a significant number of customer accounts and they are deemed to be material firms. This audit evaluated the SECís CSE program, emphasizing the SECís oversight of Bear Stearns and determined whether improvements are needed in the SECís monitoring of CSE firms and its admin. of the CSE program. Illus.

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