Division of Risk, Strategy and Financial Innovation

Securities and Exchange Commission (SEC)

100 F St

Washington, DC 20549

United States

SCHOLARLY PAPERS

4

DOWNLOADS

254

CITATIONS

0

Scholarly Papers (4)

1.

Study of the Sarbanes-Oxley Act of 2002 Section 404 Internal Control over Financial Reporting Requirements

Number of pages: 139 Posted: 24 Aug 2012
Division of Risk, Strategy and Financial Innovation
Securities and Exchange Commission (SEC)
Downloads 116 (169,580)

Abstract:

2.

Staff Analysis of Market Data Related to Credit Default Swap Transactions

Number of pages: 41 Posted: 24 Aug 2012
Division of Risk, Strategy and Financial Innovation
Securities and Exchange Commission (SEC)
Downloads 43 (336,105)

Abstract:

3.

Memorandum on Block Trades Analysis

Number of pages: 11 Posted: 24 Aug 2012
Division of Risk, Strategy and Financial Innovation
Securities and Exchange Commission (SEC)
Downloads 39 (345,100)

Abstract:

4.

Proposed Rule Changes by NYSE Arca, Inc. to List and Trade Shares of the JPM XF Physical Copper Trust (SR-NYSEArca-2012-28) and the iShares Copper Trust (SR-NYSEArca-2012-66)

Number of pages: 12 Posted: 16 Nov 2012
Division of Risk, Strategy and Financial Innovation
Securities and Exchange Commission (SEC)
Downloads 11 (488,093)

Abstract: