SEC, Oversight of the EDGAR System

SEC, Oversight of the EDGAR System
Title SEC, Oversight of the EDGAR System PDF eBook
Author United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations
Publisher
Pages 364
Release 1985
Genre EDGAR (Information retrieval system)
ISBN

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Official List of Section 13(f) Securities

Official List of Section 13(f) Securities
Title Official List of Section 13(f) Securities PDF eBook
Author
Publisher
Pages 150
Release
Genre Securities
ISBN

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Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Title Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF eBook
Author H. David Kotz
Publisher DIANE Publishing
Pages 477
Release 2010-03
Genre Biography & Autobiography
ISBN 1437921868

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Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.

The Hellhound of Wall Street

The Hellhound of Wall Street
Title The Hellhound of Wall Street PDF eBook
Author Michael Perino
Publisher Penguin
Pages 366
Release 2010-10-14
Genre Business & Economics
ISBN 1101444444

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A gripping account of the underdog Senate lawyer who unmasked the financial wrongdoing that led to the Crash of 1929 and forever changed the relationship between Washington and Wall Street. In The Hellhound of Wall Street, Michael Perino recounts in riveting detail the 1933 hearings that put Wall Street on trial for the Great Crash. Never before in American history had so many financial titans been called to account before the public, and they had come within a few weeks of emerging unscathed. By the time Ferdinand Pecora, a Sicilian immigrant and former New York prosecutor, took over as chief counsel, the investigation had dragged on ineffectively for nearly a year and was universally written off as dead. The Hellhound of Wall Street provides a minute-by-minute account of the ten dramatic days when Pecora turned the hearings around, cross- examining the officers of National City Bank (today's Citigroup), particularly its chairman, Charles Mitchell, one of the best known bankers of his day. Mitchell strode into the hearing room in obvious disdain for the proceedings, but he left utterly disgraced. Pecora's rigorous questioning revealed that City Bank was guilty of shocking financial abuses, from selling worthless bonds to manipulating its stock price. Most offensive of all was the excessive compensation and bonuses awarded to its executives for peddling shoddy securities to the American public. Pecora became an unlikely hero to a beleaguered nation. The man whom the press called "the hellhound of Wall Street" was the son of a struggling factory worker. Precocious and determined, he became one of New York's few Italian American lawyers at a time when Italians were frequently stereotyped as anarchic criminals. The image of an immigrant lawyer challenging a blue-blooded Wall Street tycoon was just one more sign that a fundamental shift was taking place in America. By creating the sensational headlines needed to galvanize public opinion for reform, the Pecora hearings spurred Congress to take unprecedented steps to rein in the freewheeling banking industry and led directly to the New Deal's landmark economic reforms. A gripping courtroom drama with remarkable contemporary relevance, The Hellhound of Wall Street brings to life a crucial turning point in American financial history.

Securities Market Issues for the 21st Century

Securities Market Issues for the 21st Century
Title Securities Market Issues for the 21st Century PDF eBook
Author Merritt B. Fox
Publisher
Pages 476
Release 2018
Genre Securities
ISBN 9781982966850

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SEC Oversight

SEC Oversight
Title SEC Oversight PDF eBook
Author United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher
Pages 272
Release 1986
Genre Brokers
ISBN

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Oversight of the Securities and Exchange Commission and the Securities Industry

Oversight of the Securities and Exchange Commission and the Securities Industry
Title Oversight of the Securities and Exchange Commission and the Securities Industry PDF eBook
Author United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher
Pages 308
Release 1987
Genre Insider trading in securities
ISBN

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