Source: http://www4.law.cornell.edu/uscode/text/15/78d-9
Timestamp: 2013-12-11 12:02:14
Document Index: 787073759

Matched Legal Cases: ['§ 78', '§ 78', '§ 78', '§ 964', 'art 200', 'art 249', 'art 249']

15 USC § 78d–9 - Report on oversight of national securities associations | Title 15 - Commerce and Trade | U.S. Code | LII / Legal Information Institute
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15 USC § 78d–9 - Report on oversight of national securities associations
Not later than 2 years after July 21, 2010, and every 3 years thereafter, the Comptroller General of the United States shall submit to the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the House of Representatives a report that includes an evaluation of the oversight by the Commission of national securities associations registered under section 78o–3 of this title with respect to—
the governance of such national securities associations, including the identification and management of conflicts of interest by such national securities associations, together with an analysis of the impact of any conflicts of interest on the regulatory enforcement or rulemaking by such national securities associations;
the examinations carried out by the national securities associations, including the expertise of the examiners;
the executive compensation practices of such national securities associations;
the arbitration services provided by the national securities associations;
the review performed by national securities associations of advertising by the members of the national securities associations;
the cooperation with and assistance to State securities administrators by the national securities associations to promote investor protection;
how the funding of national securities associations is used to support the mission of the national securities associations, including—
the methods of funding;
the sufficiency of funds;
how funds are invested by the national securities association pending use; and
the impact of the methods, sufficiency, and investment of funds on regulatory enforcement by the national securities associations;
the policies regarding the employment of former employees of national securities associations by regulated entities;
the ongoing effectiveness of the rules of the national securities associations in achieving the goals of the rules;
the transparency of governance and activities of the national securities associations; and
any other issue that has an impact, as determined by the Comptroller General, on the effectiveness of such national securities associations in performing their mission and in dealing fairly with investors and members; [1]
Reimbursements for cost of reports
Reimbursements required
The Commission shall reimburse the Government Accountability Office for the full cost of making the reports under subsection (a), as billed therefor by the Comptroller General.
Crediting and use of reimbursements
Such reimbursements shall—
be credited to the appropriation account “Salaries and Expenses, Government Accountability Office” current when the payment is received; and
(Pub. L. 111–203, title IX, § 964,July 21, 2010, 124 Stat. 1910.)
Section was enacted as part of the Investor Protection and Securities Reform Act of 2010 and also as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act, and not as part of the Securities Exchange Act of 1934 which comprises this chapter.
This is a list of parts within the Code of Federal Regulations for which this US Code section provides rulemaking authority.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.17 CFR - Title 17—Commodity and Securities Exchanges17 CFR Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS17 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 193417 CFR Part 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934