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Diane Publishing Books
Third Report on the Implementation of SEC Organizational Reform Recommendations
SEC Staff (au)
The Securities and Exchange Comm. (SEC) currently oversees 11,144 investment advisers with about $48 trillion in assets under management, close to 4,500 broker-dealers with in excess of 160,000 branch offices, and 9,700 mutual funds and exchange traded funds. The SEC is responsible for the review of more than 9,100 reporting companies. The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act) directed SEC to engage an independent consultant to conduct an independent assessment of the SEC劌製 internal operations, structure, funding, and the SEC劌製 relationship with the Self-Regulating Organizations (SROs). Issued in March 2011, the consultant劌製 study provided recommendations designed to increase the SEC劌製 efficiency and effectiveness. This document is the third of four agency reports to Congress on the implementaiton of the regulatory and administrative recommendations contained in the consultant劌製 report. Figures. This is a print on demand report.
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Where the Domino Fell: America & Vietnam, 1945 to 1990
Just Horses: Living with Horses in America
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