SECs Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program
Securities and Exchange Commission, Office of Inspector General – SECs Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program, September 25, 2008, Report No. 446-B SEC’s Division of Trading and Markets (TM)…”is not fulfilling its obligations in accordance with the underlying purpose of the Broker-Dealer Risk Assessment program in several respects. First, TM …