Subject Heading Keyword: Securities regulation.

1. Italy Financial Sector Assessment Program: Detailed Assessment of Observance of the IMF Code of Good Practices on Transparency in Monetary and Financial Policies: Securities Regulation.

Author/Creator:: International Monetary Fund.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2006.
Format/Description:: Government document
Book
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2. Integration of the Securities Market Infrastructure in the European Union Policy and Regulatory Issues,

Author/Creator:: Kazarian, Elias G.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2006.
Format/Description:: Government document
Book
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3. Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session, on the overall impact and outcome of the consolidation on the regulatory scheme including but not limited to the areas of rules, governance, enforcement and compliance, advertising, arbitration, funding, and the potential impact on investors, Thursday, May 17, 2007.

Author/Creator:: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment.
Publication:: Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.
Format/Description:: Book
Online resource:: HathiTrust Digital Library Connect to full text

4. Belgium Technical Note on Securities Markets Regulation and Supervision.

Author/Creator:: International Monetary Fund. European Dept.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2013.
Format/Description:: Government document
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5. Securities Exchange Act of 1934 Amendments

Author/Creator:: United States. Congress. Senate. Committee on Banking, Housing and Urban Affairs.
Publication:: [S.l] : [s.n.], 1975.
Format/Description:: Government document
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6. Supply Chain Security : CBP Has Made Progress in Assisting the Trade Industry in Implementing the New Importer Security Filing Requirements, but Some Challenges Remain.

Author/Creator:: United States. Government Accountability Office.
Publication:: [S.l] : [s.n.], 2010.
Format/Description:: Government document
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7. Die Kursbildung am Aktienmarkt im neuen Staat.

Author/Creator:: Michaelsen, Hans Olof, 1910-
Publication:: Heidelberg, 1935.
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8. Philippines Report on Observance of Standards and Codes—Payment Systems.

Author/Creator:: International Monetary Fund.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2005.
Format/Description:: Government document
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9. Issues in the Unification of Financial Sector Supervision

Author/Creator:: Abrams, Richard K.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2000.
Format/Description:: Government document
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10. Switzerland Financial Sector Assessment Program: Factual Update: IOSCO Objectives and Principles of Securities Regulation.

Author/Creator:: International Monetary Fund.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2007.
Format/Description:: Government document
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11. Wall Street polices itself : how securities firms manage the legal hazards of competitive pressures

Author/Creator:: McCaffrey, David P., 1930-
Publication:: New York : Oxford University Press, 1998.
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12. Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, November 17, 2005.

Author/Creator:: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Publication:: Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2006.
Format/Description:: Book
Online resource:: HathiTrust Digital Library Connect to full text

13. Lithuania Financial Sector Assessment Program Update-Technical Note-IOSCO Objectives and Principles of Securities Regulation Assessment.

Author/Creator:: International Monetary Fund.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2008.
Format/Description:: Government document
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14. Framework for the Surveillance of Derivative Activities

Author/Creator:: Gutierrez, Eva.
Series:: IMF Working Papers.
Publication:: Washington : International Monetary Fund, 2005.
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15. Regulating Sale of Securities : hearings before the United States Senate Committee on Commerce, Subcommittee on H.R. 10598, Sixty-Seventh Congress, fourth session, on Dec. 6-9, 11, 12, 19, 1922.

Author/Creator:: United States. Congress. Senate. Committee on Commerce.
Publication:: Washington : U.S. G.P.O., 1922.
Format/Description:: Government document
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16. The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005.

Author/Creator:: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.
Publication:: Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005.
Format/Description:: Book
Online resource:: HathiTrust Digital Library Connect to full text

17. Modification of Transportation Act, 1920. Extract from Hearings on S. 1150 and S. 2510, Bills to Amend the Transportation Act, 1920, and for other Purposes. Statements by a Committee Representing the National Association of Owners of Railroad Securities

Author/Creator:: United States. Congress. Senate. Committee on Interstate Commerce.
Publication:: [S.l] : [publisher not identified], 1921.
Format/Description:: Government document
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18. Strengths and Weaknesses in Securities Market Regulation A Global Analysis,

Author/Creator:: Elliott, Jennifer A.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2007.
Format/Description:: Government document
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19. People's Republic of China Financial Sector Assessment Program Systemic Oversight of Financial Market Infrastructures.

Author/Creator:: International Monetary Fund.
Series:: Financial Sector Assessment Program.
Publication:: Washington, D.C. : The World Bank, 2017.
Format/Description:: Government document
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20. Promoting Competition in the Distribution of Mutual Funds Lessons for Securities Markets Regulatory Authorities in Emerging Market Economies.

Author/Creator:: World Bank Group.
Series:: Policy Notes.
Publication:: Washington, D.C. : The World Bank, 2017.
Format/Description:: Government document
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21. SEC enforcement : responses to GAO and SEC recommendations related to microcap stock fraud : report to Congressional committees

Author/Creator:: United States. General Accounting Office.
Publication:: Washington, D.C. (P.O. Box 37050, Washington, D.C. 20013) : The Office, [1998]
Format/Description:: Book
Online resource:: HathiTrust Digital Library Connect to full text

22. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, September 7, 2017.

Author/Creator:: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment, author.
Publication:: Washington : U.S. Government Publishing Office, 2018.
Format/Description:: Government document
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23. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.

Author/Creator:: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises author.
Publication:: Washington : U.S. Government Publishing Office, 2015.
Format/Description:: Government document
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24. Payments and Securities Settlement Systems in Pakistan

Author/Creator:: World Bank.
Series:: Other Financial Sector Study.
Publication:: Washington, D.C. : The World Bank, 2010.
Format/Description:: Government document
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25. Kuwait Financial Sector Assessment Program—Detailed Assessments of Observance of Standards and Codes—International Organization of Securities Commission (IOSCO)—Objectives and Principles of Securities Regulation.

Author/Creator:: International Monetary Fund.
Series:: IMF eLibrary.
Publication:: Washington, D.C. : International Monetary Fund, 2004.
Format/Description:: Government document
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1. Italy Financial Sector Assessment Program: Detailed Assessment of Observance of the IMF Code of Good Practices on Transparency in Monetary and Financial Policies: Securities Regulation.

2. Integration of the Securities Market Infrastructure in the European Union Policy and Regulatory Issues,

4. Belgium Technical Note on Securities Markets Regulation and Supervision.

5. Securities Exchange Act of 1934 Amendments

6. Supply Chain Security : CBP Has Made Progress in Assisting the Trade Industry in Implementing the New Importer Security Filing Requirements, but Some Challenges Remain.

7. Die Kursbildung am Aktienmarkt im neuen Staat.

8. Philippines Report on Observance of Standards and Codes—Payment Systems.

9. Issues in the Unification of Financial Sector Supervision

10. Switzerland Financial Sector Assessment Program: Factual Update: IOSCO Objectives and Principles of Securities Regulation.

11. Wall Street polices itself : how securities firms manage the legal hazards of competitive pressures

12. Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, November 17, 2005.

13. Lithuania Financial Sector Assessment Program Update-Technical Note-IOSCO Objectives and Principles of Securities Regulation Assessment.

14. Framework for the Surveillance of Derivative Activities

15. Regulating Sale of Securities : hearings before the United States Senate Committee on Commerce, Subcommittee on H.R. 10598, Sixty-Seventh Congress, fourth session, on Dec. 6-9, 11, 12, 19, 1922.

16. The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005.

17. Modification of Transportation Act, 1920. Extract from Hearings on S. 1150 and S. 2510, Bills to Amend the Transportation Act, 1920, and for other Purposes. Statements by a Committee Representing the National Association of Owners of Railroad Securities

18. Strengths and Weaknesses in Securities Market Regulation A Global Analysis,

19. People's Republic of China Financial Sector Assessment Program Systemic Oversight of Financial Market Infrastructures.

20. Promoting Competition in the Distribution of Mutual Funds Lessons for Securities Markets Regulatory Authorities in Emerging Market Economies.

21. SEC enforcement : responses to GAO and SEC recommendations related to microcap stock fraud : report to Congressional committees

22. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, September 7, 2017.

23. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.

24. Payments and Securities Settlement Systems in Pakistan

25. Kuwait Financial Sector Assessment Program—Detailed Assessments of Observance of Standards and Codes—International Organization of Securities Commission (IOSCO)—Objectives and Principles of Securities Regulation.

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1. Italy Financial Sector Assessment Program: Detailed Assessment of Observance of the IMF Code of Good Practices on Transparency in Monetary and Financial Policies: Securities Regulation.

2. Integration of the Securities Market Infrastructure in the European Union Policy and Regulatory Issues,

4. Belgium Technical Note on Securities Markets Regulation and Supervision.

5. Securities Exchange Act of 1934 Amendments

6. Supply Chain Security : CBP Has Made Progress in Assisting the Trade Industry in Implementing the New Importer Security Filing Requirements, but Some Challenges Remain.

7. Die Kursbildung am Aktienmarkt im neuen Staat.

8. Philippines Report on Observance of Standards and Codes—Payment Systems.

9. Issues in the Unification of Financial Sector Supervision

10. Switzerland Financial Sector Assessment Program: Factual Update: IOSCO Objectives and Principles of Securities Regulation.

11. Wall Street polices itself : how securities firms manage the legal hazards of competitive pressures

12. Self-regulatory organizations : exploring the need for reform : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, November 17, 2005.

13. Lithuania Financial Sector Assessment Program Update-Technical Note-IOSCO Objectives and Principles of Securities Regulation Assessment.

14. Framework for the Surveillance of Derivative Activities

15. Regulating Sale of Securities : hearings before the United States Senate Committee on Commerce, Subcommittee on H.R. 10598, Sixty-Seventh Congress, fourth session, on Dec. 6-9, 11, 12, 19, 1922.

16. The securities arbitration system : hearing before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, March 17, 2005.

17. Modification of Transportation Act, 1920. Extract from Hearings on S. 1150 and S. 2510, Bills to Amend the Transportation Act, 1920, and for other Purposes. Statements by a Committee Representing the National Association of Owners of Railroad Securities

18. Strengths and Weaknesses in Securities Market Regulation A Global Analysis,

19. People's Republic of China Financial Sector Assessment Program Systemic Oversight of Financial Market Infrastructures.

20. Promoting Competition in the Distribution of Mutual Funds Lessons for Securities Markets Regulatory Authorities in Emerging Market Economies.

21. SEC enforcement : responses to GAO and SEC recommendations related to microcap stock fraud : report to Congressional committees

22. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, September 7, 2017.

23. Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.

24. Payments and Securities Settlement Systems in Pakistan

25. Kuwait Financial Sector Assessment Program—Detailed Assessments of Observance of Standards and Codes—International Organization of Securities Commission (IOSCO)—Objectives and Principles of Securities Regulation.