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  1. 1
    2014 sunset review: Colorado Division of Securities and the Colorado Securities Board.

    2014 sunset review: Colorado Division of Securities and the Colorado Securities Board.

    Published 2014
    Subjects:
    Government Document Book
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  2. 2
    2014 sunset review: Colorado Division of Securities and the Colorado Securities Board.

    2014 sunset review: Colorado Division of Securities and the Colorado Securities Board.

    Published 2014
    Subjects:
    Online Access
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  3. 3
    Department of Regulatory Agencies, Division of Securities, performance audit July 1990 : report of the State Auditor.

    Department of Regulatory Agencies, Division of Securities, performance audit July 1990 : report of the State Auditor.

    Published 1990
    Subjects: “…Colorado. Division of Securities Auditing.…”
    Government Document Book
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  4. 4
    Department of Regulatory Agencies, Division of Securities, performance audit follow-up : report of the State Auditor.

    Department of Regulatory Agencies, Division of Securities, performance audit follow-up : report of the State Auditor.

    Published 1990
    Subjects: “…Colorado. Division of Securities Auditing.…”
    Government Document Book
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  5. 5
    Securities and Exchange Commission exemption for the acquisition of securities during the existence of an underwriting or selling syndicate /

    Securities and Exchange Commission exemption for the acquisition of securities during the existence of an underwriting or selling syndicate /

    Published 1997
    Subjects:
    Government Document Microfilm Book
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  6. 6
    Securities markets decimal pricing has contributed to lower trading costs and a more challenging trading environment : report to congressional requesters.

    Securities markets decimal pricing has contributed to lower trading costs and a more challenging trading environment : report to congressional requesters.

    Published 2005
    Subjects: “…Securities Prices United States.…”
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  7. 7
    Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, June 21, 2018.

    Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, secon...

    Published 2018
    Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
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  8. 8
    Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, June 21, 2018.

    Oversight of the U.S. Securities and Exchange Commission : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, secon...

    Published 2018
    Subjects: “…United States. Securities and Exchange Commission Rules and practice.…”
    Government Document Book
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  9. 9
    Audit of the Office of Acquisitions' procurement and contract management functions

    Audit of the Office of Acquisitions' procurement and contract management functions

    Published 2009
    Subjects:
    Connect to online resource
    Connect to online resource
    Government Document Electronic eBook
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  10. 10
    Penny stocks regulatory actions to reduce potential for fraud and abuse : report to congressional committees /

    Penny stocks regulatory actions to reduce potential for fraud and abuse : report to congressional committees /

    Published 1993
    Subjects:
    Government Document Microfilm Book
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  11. 11
    Investment Adviser Regulatory Flexibility Improvement Act : report (to accompany H.R. 6321) (including cost estimate of the Congressional Budget Office).

    Investment Adviser Regulatory Flexibility Improvement Act : report (to accompany H.R. 6321) (including cost estimate of the Congressional Budget Office).

    Published 2018
    Subjects: “…Securities United States. http://id.loc.gov/authorities/subjects/sh2010111900…”
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  12. 12
    Securities and Exchange Commission : exemption for the acquisition of securities during the existence of an underwriting or selling syndicate /

    Securities and Exchange Commission : exemption for the acquisition of securities during the existence of an underwriting or selling syndicate /

    Published 1997
    Subjects:
    Government Document Book
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  13. 13
    Securities and Exchange Commission : offshore offers and sales /

    Securities and Exchange Commission : offshore offers and sales /

    Published 1998
    Subjects:
    Government Document Book
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  14. 14
    Inspection of corporation finance referrals memorandum.

    Inspection of corporation finance referrals memorandum.

    Published 2008
    Subjects:
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    Online Access
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  15. 15
    Who's watching the watchdog? : examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subcommittee of the Committee on Homeland Security and Governmental Affairs, United States Senate One Hundred Ninth Congress, first session, July 27, 2005.

    Who's watching the watchdog? : examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subco...

    Published 2006
    Subjects: “…United States. Securities and Exchange Commission Appropriations and …”
    Connect to online resource
    Connect to online resource
    Government Document Book
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  16. 16
    Who's watching the watchdog? examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subcommittee of the Committee on Homeland Security and Governmental Affairs, United States Senate One Hundred Ninth Congress, first session, July 27, 2005.

    Who's watching the watchdog? examining financial management at the SEC : hearing before the Federal Financial Management, Government Information, and International Security Subcomm...

    Published 2006
    Subjects: “…United States. Securities and Exchange Commission Appropriations and …”
    Full Text (via ProQuest)
    Government Document Electronic eBook
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  17. 17
    Review of investor protection and market oversight with the five commissioners of the Securities and Exchange Commission hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, first session, June 26, 2007.

    Review of investor protection and market oversight with the five commissioners of the Securities and Exchange Commission hearing before the Committee on Financial Services, U.S. Ho...

    Published 2007
    Subjects:
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  18. 18
    Canada : Financial Sector Assessment Program IOSCO Objectives and Principles of Securities Regulation, Detailed Assessment of Implementation /

    Canada : Financial Sector Assessment Program IOSCO Objectives and Principles of Securities Regulation, Detailed Assessment of Implementation /

    Published 2014
    Subjects:
    Full Text (via ProQuest)
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  19. 19
    Financial market preparedness : improvements made, but more action needed to prepare for wide-scale disasters : report to the Committee on Energy and Commerce, House of Representatives.

    Financial market preparedness : improvements made, but more action needed to prepare for wide-scale disasters : report to the Committee on Energy and Commerce, House of Representat...

    Published 2004
    Subjects:
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  20. 20
    Colorado Division of Securities, Colorado Securities Board, 2003 sunset review /

    Colorado Division of Securities, Colorado Securities Board, 2003 sunset review /

    Published 2003
    Subjects:
    Click here to view online
    Government Document Book
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