Join our mailing list!

Official PayPal Seal

(Your shopping cart is empty)

  Home > Diane Publishing Books >

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

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.

Share your knowledge of this product with other customers... Be the first to write a review
Diane Publishing Co
PO Box 617
Darby, PA 19023-0617
 About Us
 Become an Affiliate
 Privacy Policy
 Send Us Feedback
Company Info | Advertising | Product Index | Category Index | Help | Terms of Use
Copyright � 2004 Diane Publishing Company. All Rights Reserved.
Built with Volusion