PUCPR Search for 'Provider:U.S. Securities and Exchange Commission'

Investigation of failure of the SEC to uncover Bernard Madoff's Ponzi Scheme

[Washington, DC] U.S. Securities and Exchange Commission, Office of Investigations | [U.S. G.P.O., Supt. of Docs., distributor] 2009 .
xix, 457 p. , "August 31, 2009, Report No. OIG-509." | Submitted by H. David Kotz, Inspector General, Aug 31, 2009 | Shipping list no.: 2009-0106-S 28 cm..

Un mapa para iniciarlo en el camino de la seguridad financiera a travâes del ahorro y la inversion entâerese de los hechos sobre ahorros e inversiones

Washington, DC U.S. Securities and Exchange Commission 2008 .
32 p. , Cover title. | "04/08"--P. [4] of cover. | Shipping list no.: 2008-0366-P. | "SEC Pub. 009"--P. [4] of cover. 21 cm..

U.S. Securities and Exchange Commission.

Washington, DC : | [Washington, D.C.] : U.S. Securities and Exchange Commission | Government Publishing Office, 2016 .
1 online resource , The content is made available by the U.S. Government Publishing Office in accordance with Title 44 of the US Code. | Digital collection: Federal Depository Library Program Web Archive. | CRDP Project record.

Investor.gov.

Washington, DC : | [Washington, D.C.] : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy | Government Publishing Office, 2016 .
1 online resource , The content is made available by the U.S. Government Publishing Office in accordance with Title 44 of the US Code. | Digital collection: Federal Depository Library Program Web Archive. | CRDP Project record.

Administrative proceeding documents.

Washington, D.C.] : U.S. Securities and Exchange Commission .
1 online resource , "[P]rovides access to the principal pleadings, orders, and decisions in current SEC Administrative Proceedings"--Resource home page. | CRDP Program record.

Commission opinions and adjudicatory orders.

Washington, D.C. : U.S. Securities and Exchange Commission .
1 online resource , CRDP Program record.

Inspection of corporation finance referrals : memorandum.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008 .
1 online resource (10 pages). , Title from title screen (viewed on Oct 7, 2010). | "September 30, 2008." | CRDP Program record.

Review of the commission's processes for selecting investment advisers and investment companies for examination.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009 .
1 online resource (57 pages) , "Report No. 470." | "Public redacted version." | "November 19, 2009." | CRDP Program record.

Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009 .
1 online resource (viii, 76 pages) , "September 29, 2009." | "Report No. 468." | CRDP Program record.

SEC's oversight of Bear Stearns and related entities, Broker-Dealer Risk Assessment Program.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008 .
1 online resource (viii, 36 pages) , "Report no. 446-B." | "September 25, 2008." | "Sections of this report have been redacted to delete information that SEC believes is non-public and confidential." | CRDP Program record.

Audit of SEC's controls over support service, expert and consulting service contracts.

Wasington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2013 .
1 online resource (vii, 34 pages). , "March 29, 2013." | "Redacted public version." | CRDP Program record.

Audit of the SEC's process for reviewing self-regulatory organizations' proposed rule changes.

Wasington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2016 .
1 online resource (iii, 27 pages) : , "September 23, 2016." | CRDP Program record.

Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2017 .
1 online resource (ii, 17 pages). , "July 21, 2017." | CRDP Program record.

Controls over the SEC's inventory of laptop computers.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2014 .
1 online resource (iii, 29 pages) : , "September 22, 2014." | CRDP Program record.

Controls over the SEC's government purchase card program.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2014 .
1 online resource (iii, 34 pages). , "March 28, 2014." | CRDP Program record.

Audit of the SEC's internal controls for retaining external experts and foreign counsel for the Division of Enforcement.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2018 .
1 online resource (ii, 23 pages) : , "June 15, 2018." | CRDP Program record.

Audit of the SEC's compliance with the Federal Information Security Modernization Act for fiscal year ...

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2016 .
1 online resource (volumes) , "Redacted for public release." | CRDP Program record.

Audit of the SEC's information technology requirements--gathering process /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2016 .
1 online resource (iii, 37 pages). , "September 30, 2016." | "Redacted for public release." | Includes tables. | CRDP Program record.

Audit of the Office of the Ethics Counsel's oversight of employee securities holdings /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2014 .
1 online resource (iii, 34 pages) : , "December 10, 2014." | Includes tables. | CRDP Program record.

Audit of the representation of minorities and women in SEC's workforce /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2014 .
1 online resource (iii, 46 pages) : , "November 20, 2014." | Includes tables. | CRDP Program record.

Review of the SEC's practices for sanitizing digital information system media /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2014 .
1 online resource ([5] pages). , "May 30, 2014." | CRDP Program record.

Audit of the SEC's physical security program /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2014 .
1 online resource (iii, 39 pages) : , "August 1, 2014." | Redacted information for public release. | Includes tables. | CRDP Program record.

Management of the SEC's protective security force contract needs improvement /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2016 .
1 online resource ([5] pages). , "June 22, 2016." | CRDP Program record.

Audit of the SEC's Contracting Officers' Representative program /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2015 .
1 online resource (iii, 29 pages). , "September 18, 2015." | Includes tables. | CRDP Program record.

Improvements needed in the Division of Enforcement's oversight of fund administrators /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2015 .
1 online resource (iii, 27 pages) : , "September 30, 2015." | Includes tables. | CRDP Program record.

Review of the SEC's systems certification and accreditation process /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2013 .
1 online resource (viii, 45 pages) : , "March 27, 2013." | "Redacted public version." | Includes tables. | CRDP Program record.

SEC's controls over sensitive/nonpublic information collected and exchanged with the Financial Stability Oversight Council and Office of Financial Research /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2013 .
1 online resource (vii, 20 pages). , "March 25, 2013." | "Redacted public version." | Includes tables. | CRDP Program record.

Evaluation of the SEC's Whistleblower Program /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2013 .
1 online resource (viii, 42 pages) : , "January 18, 2013." | Includes tables. | CRDP Program record.

Audit of the SECs Filing Fees Program /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2013 .
1 online resource (iv, 15 pages). , "March 29, 2013." | Includes tables. | CRDP Program record.

Improvements needed in oversight of SEC-sponsored conferences.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2016 .
1 online resource (iv, 20 pages) : , "February 11, 2016." | Includes tables. | CRDP Program record.

Office of Compliance Inspections and Examinations' management of investment adviser examination coverage goals.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2016 .
1 online resource (iv, 25 pages). , "March 10, 2016." | Includes tables. | CRDP Program record.

Audit of the SEC's Student Loan Repayment Program.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2016 .
1 online resource (iii, 35 pages) : , "March 31, 2016." | Includes tables. | CRDP Program record.

Assessment of SEC's system and network logs.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of the Inspector General, Office of Audits, 2012 .
1 online resource (iv, 33 pages) : , "March 16, 2012." | "Assessment and Review Conducted by C5i Federal, Inc." | "Redacted public version." | Includes tables. | CRDP Program record.

Internal control review of the Government Purchase Card program.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008 .
1 online resource (ii, 22 pages). , "September 18, 2008." | CRDP Program record.

Oversight of and compliance with conditions and representations related to exemptive orders and no-action letters.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2011 .
1 online resource (viii, 44 pages). , "June 29, 2011." | CRDP Program record.

Review of alternative work arrangements, overtime compensalion, and COOP-relaled activities at the SEC.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2011 .
1 online resource (xv, 72 pages). , "September 28, 2011." | CRDP Program record.

Saving and investing for students.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2011 .
1 online resource (32 pages) , "SEC Pub. 075 (01/11)"--Page 4 of cover. | GPO Cataloging Record Distribution Program (CRDP).

Financial readiness : saving and investing for military personnel.

Washington, DC : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2019 .
1 online resource (33 pages) : , "SEC Pub. 189 (02/19)." | GPO Cataloging Record Distribution Program (CRDP).

Stopping affinity fraud in your community : how to avoid investment scams that target groups.

Washington, DC : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2016 .
1 online resource (8 pages). , "SEC Pub. 177 (06/16)." | GPO Cataloging Record Distribution Program (CRDP).

Saving and investing for military personnel.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2019 .
1 online resource (2 pages) , "July 18, 2019." | GPO Cataloging Record Distribution Program (CRDP).

Ahorros e inversiones : un mapa para iniciarlo en el camino de la seguridad financiera a trav�es del ahorro y la inversi�on.

Washington, D.C. : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2010 .
1 online resource (32 pages) : , "Publicaci�on 005 (06/10) de la SEC"--Page 4 of cover. | GPO Cataloging Record Distribution Program (CRDP).

C�omo detener el fraude de afinidad en su comunidad : c�omo evitar las estafas de inversion dirigidas a ciertos grupos.

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, 2014 .
1 online resource (8 pages) , "Pub. de la SEC 169 (09/14)"--Page 4 of cover. | GPO Cataloging Record Distribution Program (CRDP).

Audit/evaluation and other reports /

[Washington, D.C.] : U.S. Securities and Exchange Commission, Office of Inspector General .
1 online resource , GPO Cataloging Record Distribution Program (CRDP).