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Diane Publishing Books
SECís Oversight of Bear Sterns and Related Entities: Broker-Dealer Risk Assessment Program
H. David Kotz (au)
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.
Embracing Defeat: Japan in the Wake of World War II
Sale Price: $15.00
Supporting the Sky
Competing for Employees: Proven Marketing Strategies for Hiring & Keeping Exceptional People
Kensington Way: A Revolutionary Lifestyle Guide for Weight Control, Vitality, & Perfect Health
Whoís in Control? Polar Politics & the Sensible Center
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