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Securities and Exchange Commission: Greater Attention Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement
Mary L. Schapiro (au)
The SEC Div. of Enforcement (Enforcement) plays a key role in meeting the agency's mission to protect investors and maintain fair and orderly markets. In recent years, Enforcement has brought cases yielding record civil penalties, but questions have been raised about its capacity to manage its resources and fulfill its law enforcement and investor protection responsibilities. This report evaluates: (1) SEC's progress toward implementing previous recommendations; (2) the extent to which Enforcement has an appropriate mix of resources dedicated to achieving its objectives; and (3) the adoption, implementation, and effects of recent penalty policies. Includes recommendations. Charts and tables.
Rudy!: An Investigative Biography of Rudy Giuliani
Birding for Beginners: A Comprehensive Introduction to Bird Watching
Sale Price: $17.00
Travelerís Self Care Manual: A Self Help Guide to Emergency Medical Treatment for the Traveler
Just Horses: Living with Horses in America
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