Info
- Utilizzare la checkbox di selezione a fianco di ciascun documento per attivare le funzionalità di stampa, invio email, download nei formati disponibili del (i) record.
Bank Secrecy Act enforcement : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to ensure compliance and enforcement of the Bank Secrecy Act, enacted in 1970, which authorizes the Secretary of the Treasury to issue regulations requiring that financial institutions keep records and file reports on certain financial transactions, focusing on anti-money laundering and issues concerning depository institution regulatory oversight, June 3, 2004
| Bank Secrecy Act enforcement : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to ensure compliance and enforcement of the Bank Secrecy Act, enacted in 1970, which authorizes the Secretary of the Treasury to issue regulations requiring that financial institutions keep records and file reports on certain financial transactions, focusing on anti-money laundering and issues concerning depository institution regulatory oversight, June 3, 2004 |
| Descrizione fisica | 1 online resource (iii, 120 p.) |
| Soggetto topico |
Money laundering - United States - Prevention
Money laundering investigation - United States Securities industry - Self-regulation - United States Terrorism - Finance - Prevention |
| Soggetto non controllato |
Money laundering
Securities industry Terrorism Business & economics Political science |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Bank Secrecy Act enforcement |
| Record Nr. | UNINA-9910694050103321 |
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
|
Consolidation of NASD and the regulatory functions of the NYSE [[electronic resource] ] : 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 ... Thursday, May 17, 2007
| Consolidation of NASD and the regulatory functions of the NYSE [[electronic resource] ] : 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 ... Thursday, May 17, 2007 |
| Pubbl/distr/stampa | Washington : , : U.S. G.P.O., , 2009 |
| Descrizione fisica | 1 online resource (iii, 128 pages) |
| Collana | S. hrg. |
| Soggetto topico | Securities industry - Self-regulation - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Consolidation of NASD and the regulatory functions of the NYSE |
| Record Nr. | UNINA-9910696909503321 |
| Washington : , : U.S. G.P.O., , 2009 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Improving financial oversight : a private sector view of anti-money laundering efforts : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004
| Improving financial oversight : a private sector view of anti-money laundering efforts : hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, House of Representatives, One Hundred Eighth Congress, second session, May 18, 2004 |
| Descrizione fisica | 1 online resource (v, 105 p.) : ill |
| Soggetto topico |
Money laundering - United States - Prevention
Money laundering investigation - United States Securities industry - Self-regulation - United States Terrorism - Finance - Prevention |
| Soggetto non controllato |
Money laundering
Securities industry Terrorism Business & economics Political science |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Improving financial oversight |
| Record Nr. | UNINA-9910689768803321 |
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
|
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
| 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 |
| Pubbl/distr/stampa | Washington : , : U.S. Government Publishing Office, , 2018 |
| Descrizione fisica | 1 online resource (v, 55 pages) |
| Soggetto topico | Securities industry - Self-regulation - United States |
| Soggetto genere / forma | Legislative hearings. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Oversight of the Financial Industry Regulatory Authority |
| Record Nr. | UNINA-9910714003703321 |
| Washington : , : U.S. Government Publishing Office, , 2018 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
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
| 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 |
| Pubbl/distr/stampa | Washington : , : U.S. Government Publishing Office, , 2015 |
| Descrizione fisica | 1 online resource (v, 41 pages) |
| Soggetto topico | Securities industry - Self-regulation - United States |
| Soggetto genere / forma | Legislative hearings. |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Oversight of the Financial Industry Regulatory Authority |
| Record Nr. | UNINA-9910704101303321 |
| Washington : , : U.S. Government Publishing Office, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006
| A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006 |
| Descrizione fisica | 1 online resource (iii, 57 p.) |
| Soggetto topico |
Securities industry - Self-regulation - United States
Stock exchanges - United States |
| Soggetto non controllato |
New york stock exchange
National association of securities dealers Securities industry Stock exchanges Business & economics |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Review of self-regulatory organizations in the securities markets |
| Record Nr. | UNINA-9910694465403321 |
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
|
Securities and Exchange Commission [[electronic resource] ] : opportunities exist to improve oversight of self-regulatory organizations : report to the Ranking Member, Committee on Finance, U.S. Senate
| Securities and Exchange Commission [[electronic resource] ] : opportunities exist to improve oversight of self-regulatory organizations : report to the Ranking Member, Committee on Finance, U.S. Senate |
| Pubbl/distr/stampa | [Washington, D.C.] : , : U.S. Govt. Accountability Office, , [2007] |
| Descrizione fisica | iii, 67 pages : digital, PDF file |
| Soggetto topico | Securities industry - Self-regulation - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Securities and Exchange Commission |
| Record Nr. | UNINA-9910696309403321 |
| [Washington, D.C.] : , : U.S. Govt. Accountability Office, , [2007] | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
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
| 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 |
| Descrizione fisica | 1 online resource (v, 115 p.) : ill |
| Soggetto topico |
Arbitration and award - United States
Securities - United States Securities industry - Self-regulation - United States |
| Soggetto non controllato |
Arbitration and award
Securities Securities industry Law Business & economics |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Securities arbitration system |
| Record Nr. | UNINA-9910694062903321 |
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
|
Securities regulation: SEC inspections of financial industry regulatory authority's governance were consistent with internal guidance : report to congressional committees
| Securities regulation: SEC inspections of financial industry regulatory authority's governance were consistent with internal guidance : report to congressional committees |
| Pubbl/distr/stampa | [Washington, D.C.] : , : United States Government Accountability Office, , 2018 |
| Descrizione fisica | 1 online resource (ii, 19 pages) : color illustrations |
| Soggetto topico |
Securities industry - Law and legislation - United States
Securities industry - Self-regulation - United States |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Securities regulation |
| Record Nr. | UNINA-9910717276003321 |
| [Washington, D.C.] : , : United States Government Accountability Office, , 2018 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
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
| 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 |
| Descrizione fisica | 1 online resource (v, 129 p.) |
| Soggetto topico | Securities industry - Self-regulation - United States |
| Soggetto non controllato |
Securities industry
Business & economics |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Altri titoli varianti | Self-regulatory organizations |
| Record Nr. | UNINA-9910694191603321 |
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
|
