DOCSLIB.ORG

GAO-18-186R, Financial Audit

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
GAO-18-186R, Financial Audit 441 G St. N.W. Washington, DC 20548 November 15, 2017 The Honorable Jay Clayton Chairman United States Securities and Exchange Commission Financial Audit: Securities and Exchange Commission’s Fiscal Years 2017 and 2016 Financial Statements Dear Mr. Clayton: This report transmits the GAO auditor’s report on the results of our audits of the fiscal years 2017 and 2016 financial statements of the United States Securities and Exchange Commission (SEC) and its Investor Protection Fund (IPF),1 which is incorporated in the enclosed U.S. Securities and Exchange Commission Fiscal Year 2017 Agency Financial Report. As discussed more fully in the auditor’s report that begins on page 57 of the enclosed agency financial report, we found • the financial statements of SEC and its IPF as of and for the fiscal years ended September 30, 2017, and 2016, are presented fairly, in all material respects, in accordance with U.S. generally accepted accounting principles; • SEC maintained, in all material respects, effective internal control over financial reporting for SEC and for IPF as of September 30, 2017; and • no reportable noncompliance for fiscal year 2017 with provisions of applicable laws, regulations, contracts, and grant agreements we tested. The Accountability of Tax Dollars Act of 2002 requires that SEC annually prepare and submit audited financial statements to Congress and the Office of Management and Budget.2 The Securities Exchange Act of 1934, as amended in 2010 by section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), requires SEC to annually prepare and submit a complete set of audited financial statements for IPF to Congress.3 In accordance with the authority conferred by the Chief Financial Officers Act of 1990, as amended 1IPF, which was established in 2010 by section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), funds the activities of SEC’s whistleblower award program and the SEC Office of Inspector General Employee Suggestion Program established under section 966 of the Dodd-Frank Act. IPF is a separate SEC fund, and its financial statements present SEC’s financial activity associated with these programs. Accordingly, IPF’s financial transactions are also included in SEC’s overall financial statements. Pub. L. No. 111-203, § 922(a), 124 Stat. 1376, 1844 (July 21, 2010), classified at 15 U.S.C. § 78u-6(g). 2Pub. L. No. 107-289, § 2, 116 Stat. 2049-50 (Nov. 7, 2002), amending 31 U.S.C. § 3515. 3Dodd-Frank Act, § 922(a), 124 Stat. 1844 (July 21, 2010), adding § 21F(g)(5) of the Securities Exchange Act of 1934, classified at 15 U.S.C. § 78u-6(g)(5). Page 1 GAO-18-186R SEC’s Financial Statements for Fiscal Years 2017 and 2016 by the Government Management Reform Act of 1994,4 we have audited the SEC and IPF financial statements. Section 963 of the Dodd-Frank Act further requires that (1) SEC annually submit a report to Congress describing management’s responsibility for internal control over financial reporting and assessing the effectiveness of such internal control during the fiscal year, (2) the SEC Chairman and Chief Financial Officer attest to SEC’s report, and (3) GAO assess the effectiveness of SEC’s internal control over financial reporting and evaluate, attest to, and report on SEC’s assessment.5 Accordingly, this report also includes our reporting in response to the requirement under section 963 of the Dodd-Frank Act. ________________ We are sending copies of this report to the Chairmen and Ranking Members of the Senate Committee on Banking, Housing, and Urban Affairs; the Senate Committee on Homeland Security and Governmental Affairs; the House Committee on Financial Services; and the House Committee on Oversight and Government Reform. We are also sending copies to the Secretary of the Treasury, the Director of the Office of Management and Budget, and other interested parties. In addition, the report is available at no charge on the GAO website at http://www.gao.gov. If you or your staff have questions about this report, please contact me at (202) 512-3133 or [email protected]. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. Sincerely yours, James R. Dalkin Director Financial Management and Assurance Team Enclosure (101653) 4See the Chief Financial Officers Act of 1990, Pub. L. No. 101-576, 104 Stat. 2838 (Nov. 15, 1990), codified, in relevant part, as amended, at 31 U.S.C. § 3521(g); see also the Government Management Reform Act of 1994, Pub. L. No. 103-356, 108 Stat. 3410 (Oct. 13, 1994), codified, in relevant part, as amended, at 31 U.S.C. § 3515(c). 5Dodd-Frank Act, § 963(a), (b), 124 Stat. 1910 (July 21, 2010), classified at 15 U.S.C. § 78d-8(a), (b). Page 2 GAO-18-186R SEC’s Financial Statements for Fiscal Years 2017 and 2016 U.S. SECURITIES AND EXCHANGE COMMISSION Agency Financial FISCAL YEAR 2017 Report PROTECTING INVESTORS MAINTAINING FAIR, ORDERLY, AND EFFICIENT MARKETS FACILITATING CAPITAL FORMATION i MESSAGE FROM THE CHAIRMAN Since joining the U.S. Securities and Exchange Commission (SEC) in May 2017, I’ve seen first-hand the commitment and dedication of the agency’s 4,600 employees to carry out our important three-part mission—to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Through their efforts, the SEC serves the American public and seeks to sustain our nation’s continuing prosperity and importance in an ever-changing, interconnected global economy. The Agency Financial Report describes the SEC’s results over the past fiscal year. It presents the agency’s financial statements, and provides the opinion of our independent auditor, the Government Accountability Office, with respect to the financial statements and the effectiveness of our internal control systems. The report also includes the perspective of the SEC’s Inspector General on the agency’s key management and performance challenges, and reports on our plans for meeting these and other emerging challenges in the years ahead. I am pleased to report that, while global competition and the fast-moving pace of technology present new challenges to effective oversight and enforcement, the SEC is facing those challenges head on. We are committed to leveraging our precious resources efficiently and effectively. In doing so, we will endeavor to increase opportunities for Main Street investors and entrepreneurs in their pursuit of financial security and their share of the American dream. JAY CLAYTON Chairman November 13, 2017 i CONTENTS Message from the Chairman ...................................................................................................................................................i Introduction ........................................................................................................................................................................................1 Management’s Discussion and Analysis .......................................................................................................................3 About Us ....................................................................................................................................................................................................4 Mission, Vision, Values, and Goals ............................................................................................................................................4 History and Purpose ............................................................................................................................................................................. 6 Organizational Structure and Resources .............................................................................................................................8 Year In Review ......................................................................................................................................................................................13 Looking Forward ...............................................................................................................................................................................24 Financial Highlights .........................................................................................................................................................................31 Performance Highlights .............................................................................................................................................................39 Management Assurances and Compliance with Laws ..................................................................................47 Annual Assurance Statement .................................................................................................................................................... 48 Management’s Assessment of Internal Control ........................................................................................................49 Other Reviews ........................................................................................................................................................................................ 50 Improper Payments Information Act .................................................................................................................................. 51 Financial Management System Conformance ..........................................................................................................
Load more

Recommended publications
  • Stephen Kosmin Year Called 2011 [email protected]
    Stephen Kosmin Year called 2011 [email protected] Stephen Kosmin’s practice extends across financial services law, commercial law, construction law and public law. Stephen has extensive trial and appellate court experience. Recently, Stephen has appeared in the Supreme Court in R (Bancoult) v Secretary of State for Foreign and Commonwealth Affairs (No 3) acting for the claimant, and in Cox v Ministry of Justice acting for the Government. Stephen is very experienced in financial regulation and financial services law. In particular: Stephen’s expertise encompasses tax avoidance schemes and collective investment schemes, financial product mis-selling, insurance contracts, and jurisdictional issues concerning regulators. Stephen has successfully represented the Financial Ombudsman Service in judicial review proceedings, both substantive and at the permission stage, including in R (Chancery (UK) LLP) v FOS [2015] (the leading case on the jurisdictional limits of the Financial Ombudsman Service), and R (Full Circle) v FOS [2016] (the leading case on the relationship between the FCA and the Financial Ombudsman Service). Stephen has advised the Financial Services Compensation Scheme, including in relation to jurisdiction, quantum, and issues relating to judicial review. Stephen has advised the Bank of England in respect of regulatory investigations and judicial review proceedings. Stephen has both acted for the Serious Fraud Office and for a party under investigation by the Serious Fraud Office. In his commercial and construction law practice, Stephen appears regularly in the High Court both by himself and as junior counsel. In May 2018, Stephen appeared as junior counsel in Seadrill Ghana Operations Ltd v Tullow Ghana Limited, a month-long Commercial Court trial concerning the construction of a force majeure clause in an oil and gas contract upon a suspension of drilling in disputed waters between Ghana and Cote d’Ivoire.
    [Show full text]
  • The Veterinary Field and the Thouron Award
    ALUMNI NEWS A Newsletter for the Thouron Community Winter 2012-2013, Number 21 AwaRDS 2012 American Scholars Besan Abu-Joudeh MSc in Development Economics, SOAS, One year Ava Childers MPhil in Archaeology, Cambridge, One year David Dunning MPhil in History and Philosophy of Science, Cambridge, One year Alison Feder MSc by Research in Statistics, One year Myles Karp MSc in Cognitive and Evolutionary Anthropology, Oxford, One year The Veterinary Field Michael Masciandaro MPhil in Political Thought and the Thouron Award: and Intellectual History, Cambridge, One year A Long and Extraordinary Relationship Eliana Ritts MSc in Visual, Material and Museum Anthropology, Oxford, One year here is a 700-acre place in Pennsylvania called the George D. Widener Large Katie Wynbrandt Animal Hospital on the New Bolton Center Campus (opened in 1952) of Master’s in Public Policy, T the University of Pennsylvania that has a special relationship with the Thouron Oxford, One year Award. It was founded in 1964, in part with contributions from Esther du Pont Thouron, wife of Sir John Thouron — founders of the Thouron Award. Annually, this large animal British Scholars veterinary hospital, one of the finest in the world, sees more than 6,000 patients and Jamal Hussain its Field Service sees more than 19,000 patients. As they say CASELOAD, CASELOAD, Cardiff, Master’s in CASELOAD — caseloads that include horses, cattle, camelids, pigs, goats, sheep Near Eastern Languages and other large animals. In conjunction with its world-renowned small animal veterinary and Culture, Two years hospital, it’s no wonder that the University of Pennsylvania’ s Veterinary School has Jeremy Lemer attracted 13 of our British veterinary students since 1969.
    [Show full text]
  • Nicholas Escobar Resume December 2020
    Nicholas Escobar 208 Hilldale Road, Villanova, PA, 19085 610-291-7163, www.nicholasescobar.com, [email protected] Professional Experience Nicholas Escobar Music, Philadelphia, PA August 2012-Present Freelance Music Composer o Composed music for over thirty short films, over fifteen marketing commercials, five web series and six theatrical productions • “ei: emotional intelligence” (2016): Competed in 15 film festivals, accumulated over 1 million views online, Vimeo Staff Pick, Short of the Week • “Ezra” (2019) was selected for the 2020 National Student Drama Festival in the United Kingdom. The Barnes Foundation, Philadelphia, PA Art Team Associate April 2019-August 2019 o Engaged with guests to the Barnes Foundation, answering questions about the collection and sparking conversations. Gave "Pop Up Talks" about specific works in the collection. Gave orientation talks about Dr. Barnes and the history of the collection at least once a day to guest. Nexo Productions, Philadelphia, PA August 2015-March 2020 Music Composer/Director o Composed music for professional marketing commercials. Clients included: Compassionate Sciences, Neuroflow and The University of Pennsylvania Marc Platt Productions, Universal City, CA Summer 2016 Summer Intern o Read and did coverage of over three screenplays a week. Researched books, articles and historical events for film adaptation New Horizons Pictures Corp., Los Angeles, CA, Summer 2015 Summer Intern o Read science fiction short stories to make recommendations for possible film adaptation Education University of Edinburgh, Edinburgh, UK December 2020 Master of Science in Composition for Screen, With Distinction o Funded by the Thouron Award. o Master’s thesis involved composing an original score for Charlie Chaplin’s The Immigrant (1917).
    [Show full text]
  • The Securities and Exchange Commission
    The Securities and Exchange Commission: Priorities Going Forward A Panel Discussion with Jay Clayton, Stephanie Avakian, Peter Driscoll,and Steven Peikin Moderated by PCCE Director Jennifer Arlen and ICGF Director Edward Rock Tuesday, September 5, 2017 5:30-7:00 p.m. New York University School of Law Greenberg Lounge 40 Washington Square South First Floor Presented by the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center for Law & Business The Securities and Exchange Commission: Priorities Going Forward Stephanie Avakian Panelists Co-Director, Division of Enforcement Jay Clayton U.S. Securities and Exchange Commission Chair, U.S. Securities and Exchange Stephanie Avakian is Co-Director of the Commission U.S. Securities and Exchange Commission’s Jay Clayton was nominated to chair the U.S. Division of Enforcement, which has nearly 1,700 people Securities and Exchange Commission on throughout the country focused on enforcing and supporting January 20, 2017, by President Donald Trump and sworn in enforcement of the federal securities laws. From June 2014 to on May 4, 2017, following confirmation by the U.S. Senate on January 2017, she served as Deputy Director of the Division of May 2, 2017. Before joining the Commission, Clayton was a Enforcement. In January 2017, she was named Acting Director partner at Sullivan & Cromwell LLP, where for more than 20 of the division and served in that role until she was named years he advised public and private companies on a wide range Co-Director in June 2017. of matters, including securities offerings, mergers and acquisi- Before her appointment as Deputy Director, Avakian was a tions, corporate governance, and regulatory and enforcement Partner at Wilmer Cutler Pickering Hale and Dorr LLP, where proceedings.
    [Show full text]
  • Catz-The-Year-2010.Pdf
    Catz Year 2010_v4 colour change:Catz Year 2007a 28/1/11 11:16 Page c The Year St Catherine’s College . Oxford 2010 Catz Year 2010_v4 colour change:Catz Year 2007a 28/1/11 11:16 Page d Master and Fellows 2010 MASTER RobertALeese, MA (PhD Durh) Marc Lackenby, MA (PhD Camb) Peter P Edwards, MA (BSc, PhD Christoph Reisinger, (Dipl Linz, Professor Roger W Fellow by Special Election in Tutor in Pure Mathematics Salf), FRS Dr phil Heidelberg) Ainsworth, MA, DPhil, FRAeS Mathematics Leathersellers’ Fellow Professor of Inorganic Chemistry Tutor in Mathematics Director of the Smith Institute Professor of Mathematics (Leave M10-T11) FELLOWS Timothy J Bayne, (BA Otago, Sudhir Anand, MA, DPhil Louise L Fawcett, MA, DPhil (BA Marc E Mulholland, MA (BA, Patrick S Grant, MA, DPhil (BEng PhD Arizona) Tutor in Economics Lond) MA, PhD Belf) Nott) FREng Tutor in Philosophy Harold Hindley Fellow Tutor in Politics Wolfson Fellow Cookson Professor of Materials Professor of Quantitative Wilfrid Knapp Fellow Tutor in History Robert E Mabro, CBE, MA (BEng Economic Analysis (Leave M10-T11) Dean Justine N Pila, MA (BA, LLB, PhD Alexandria, MSc Lond) (Leave M10) Melb) Fellow by Special Election Susan C Cooper, MA (BA Collby Gavin Lowe, MA, MSc, DPhil Tutor in Law Richard J Parish, MA, DPhil (BA Maine, PhD California) Tutor in Computer Science College Counsel Kirsten E Shepherd-Barr, MA, Newc) Professor of Experimental Physics Professor of Computer Science DPhil (Grunnfag Oslo, BA Yale) Tutor in French (Leave T11) Bart B van Es, (BA, MPhil, PhD Tutor in English Philip
    [Show full text]
  • Weekly Round-Up, 26 October 2017
    Weekly Round-Up, 26 October 2017 * Any weekly round-up attachments can be found at the following link https://weblearn.ox.ac.uk/access/content/group/modlang/general/weekly_roundup/index.html Disclaimer: The University of Oxford and the Faculty of Medieval and Modern Languages accept no responsibility for the content of any advertisement published in The Weekly Round-Up. Readers should note that the inclusion of any advertisement in no way implies approval or recommendation of either the terms of any offer contained in it or of the advertiser by the University of Oxford or The Faculty of Medieval and Modern Languages. Contents 1 Lectures and Events Internal 1.1 OVID 2000: An Oxford Celebration 1.2 Zaharoff Lecture 2017 1.3 Poetry as Religious Practice: Toby Garfitt—Today 1.4 Francophone Seminar 1.5 Stefano Panzeri performing “Terra Matta 1899-1918” by Vincenzo Rabito-Today 1.6 Besterman Lecture 2017 1.7 French Graduate Seminar in Michaelmas Term 1.8 Modern Greek Seminar 1.9 Introducing Ancient Scripts: ‘Ancient Scripts and Language’ 1.10 Modern Poetry in Translation 1.11 Bodleian iSkills Workshops in Week 4 1.12 In Dialogue with the ‘Manieres de langage’ Workshop 1.13 Gender & Authority Seminar 1.14 Interdisciplinary Seminars In Psychoanalysis: ‘Psychoanalysis and Social Science’ 1.15 Theatre and Performance Studies Reading Group 1.16 Astor Visiting Lecturership – Is There a Global History of Humanitarianism? External – Oxford 1.17 Candide at the Oxford Playhouse 1.18 Vasily Grossman Short Stories External – Elsewhere 1.19 III Congreso
    [Show full text]
  • Blakeley B. Mcshane
    Updated March 2012 BLAKELEY B. MCSHANE Contact Information: Kellogg School of Management Office: 847-491-3522 Northwestern University Fax: 847-491-2498 2001 Sheridan Rd Email: [email protected] Evanston, IL 60208 Academic Employment: Kellogg School of Management, Northwestern University 2010 – Present Assistant Professor 2011 – Present Assistant Professor and Donald P. Jacobs Scholar 2010 – 2011 Education: The Wharton School, University of Pennsylvania May 2010 Ph.D. in Statistics Thesis: Machine Learning Methods With Time Series Dependence Advisor & Committee: Abraham Wyner, Eric Bradlow, Shane Jensen and Abba Krieger The Wharton School, University of Pennsylvania May 2010 M.A. in Statistics Thesis: Hierarchical Bayesian Modeling of Hitting Performance in Baseball Co-Advisors: Shane Jensen and Abraham Wyner Oriel College, University of Oxford October 2004 – June 2005 Studies in Philosophy The College of Arts and Sciences, University of Pennsylvania May 2003 M.A. in Mathematics Thesis: Mathematical Methods in Pricing Rainbow Options Advisor: Jonathan Block The College of Arts and Sciences, University of Pennsylvania May 2003 B.A. in Mathematics The Wharton School, University of Pennsylvania May 2003 B.S. in Economics, Concentrations in Finance and Statistics Publications: Kiser, R., Asher, M., and McShane, B.B. (2008), “Let’s Not Make a Deal: An Empirical Study of Decision Making in Unsuccessful Settlement Negotiations.” Journal of Empirical Legal Studies, Vol. 5, No. 3, 551-591. McShane, B.B., Adrian, M., Bradlow, E.T., and Fader, P.S. (2008), “Count Models Based on Weibull Interarrival Times.” Journal of Business and Economic Statistics, Vol. 26, No. 3, 369-378. Jensen, S.T., McShane, B.B., and Wyner, A.J.
    [Show full text]
  • Penn's 2021 Commencement Speaker and Honorary Degree
    UNIVERSITY OF PENNSYLVANIA Tuesday March 16, 2021 Volume 67 Number 30 www.upenn.edu/almanac Penn’s 2021 Commencement Speaker and Honorary Degree Recipients Alumna and philanthropist Laurene Powell Jobs will be Penn’s Commencement Speaker at the 2021 University of Pennsylvania Com- mencement on Monday, May 17. Medha Narvekar, Penn’s Vice President and University Secretary, has announced the 2021 honorary degree recipients and the Commence- ment Speaker for the University of Pennsylva- nia. The Office of the University Secretary man- ages the honorary degree selection process and University Commencement. Due to pandemic health restrictions, this year’s Commencement ceremony will be limit- ed to graduating seniors who have been partici- pating in the University’s COVID-19 screening Laurene Powell Jobs Elizabeth Alexander Frances Arnold David L. Cohen procedures. Family and friends will be able to watch a livestream of the celebration and a re- cording will be posted to the University’s web- site. Other 2021 Penn honorary degree recipients are Elizabeth Alexander, Frances Arnold, Da- vid L. Cohen, Joy Harjo, David Miliband, John Williams, and Janet Yellen. More Commencement Information in this Issue: See page 2 for an announcement from the President, Provost and EVP with specific details about the ceremony. See pages 6-7 for detailed bios of the honorary degree recipients. Joy Hario David Miliband John Williams Janet Yellen Kevin Johnson: Penn Integrates Knowledge University Professor Margo Brooks-Carthon and Heath President Amy Gutmann and Provost Wendell prove the health of individuals and communities,” Schmidt: Endowed Chairs in Pritchett announced the appointment of Kevin said President Gutmann.
    [Show full text]
  • OMARI SCOTT SIMMONS Wake Forest University School of Law P.O
    OMARI SCOTT SIMMONS Wake Forest University School of Law P.O. BOX 7206 Winston-Salem, NC 27106 (336) 758-4493 [email protected] LEGAL WAKE FOREST UNIVERSITY SCHOOL OF LAW, Winston-Salem, NC EMPLOYMENT Director of Business Law Program, 2015-present Howard L. Oleck Professor of Business Law, 2017-present Professor of Law, 2012-2017 Associate Professor of Law, 2009-2012 Assistant Professor of Law, 2006-2009 Director, London Summer Program, Summer 2016 UNIVERSITY OF MARYLAND FRANCIS KING CAREY SCHOOL OF LAW, Baltimore, MD Visiting Professor of Law, Fall 2013-Spring 2014 LENOVO, Washington, DC Senior Counsel, 2005-2006 INVISTA, Wilmington, DE Senior Counsel, 2003-2005 WILMER HALE, Washington, DC Associate, 2001-2003 SUPREME COURT OF DELAWARE, Wilmington, DE Law Clerk to the Honorable Chief Justice E. Norman Veasey, 1999-2000 OTHER SIMMONS MEMORIAL FOUNDATION, Winston-Salem, NC PROFESSIONAL Executive Director/Co-Founder, 1996-present EXPERIENCE Manage award-wining nonprofit organization, on a volunteer basis, that provides college consulting services and mentoring to vulnerable students. For over two decades, SMF has assisted hundreds of students in their pursuit of higher education. Since inception, SMF has also awarded over sixty scholarships. Oversee strategic planning, fundraising, recruiting, partnerships, community outreach, and other operational functions. SYSTEMS INTEGRATION & MANAGEMENT, Arlington, VA President/CEO, March 2013-July 2015 Managed 120+ employee, multi-office, small business with $15 million annual revenues providing services to the U.S. Department of Defense. Held top secret security clearance. Oversaw all operational functions including strategic planning, negotiations, compliance, budgeting, customer relations, subcontractor relations, and personnel. SIM held a multiyear $90 million contract to operate the US Navy’s Enterprise Service Help Desk, supporting approximately 670,000 remote customers, both active and reserve troops, worldwide.
    [Show full text]
  • Program: 36Th Annual SEC Government-Business Forum on Small Business Capital Formation 2017
    UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE November 30, 2017 Dear Forum Part.icipant: Welcome to the Thirty-Sixth SEC Government-Business Forum on Small Business Capital Formation. The Securities and Exchange Commission has conducted this forum annually since 1982. We are very happy to host this year's Forum in partnership with the Herb Kelleher Center for Entrepreneurship, Growth and Renewal at the McCombs School ofBusiness at The University ofTexas at Austin. As a hub for innovation, we believe Austin is a fitting place to gather small businesses, their advisors, and their investors with an opportunity to share perspectives and views on a variety of topics important to them. This year the Forum will focus on how capital formation options are working for small businesses and will feature representatives ofTexas­ based small businesses and advisors from across the nation's small business community. This opportunity to hear directly from the small business community about their experiences interacting with investors and our regulatory system helps us take a practical and effective approach in our rulemaking and interpretation. Thank you for devoting your time and efforts to participating in today's Forum. We look forward to today's discussi·ons and appreciate your comments and recommendations. We also want to extend a big thank you to our friends at the Herb Kelleher Center for being such gracious hosts and making this event happen in Austin. Very truly yours, ~~ Sebastian Gomez
    [Show full text]
  • Nomination of Jay Clayton Hearing Committee On
    S. HRG. 115–9 NOMINATION OF JAY CLAYTON HEARING BEFORE THE COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS UNITED STATES SENATE ONE HUNDRED FIFTEENTH CONGRESS FIRST SESSION ON THE NOMINATION OF JAY CLAYTON, OF NEW YORK, TO BE A MEMBER OF THE SECURITIES AND EXCHANGE COMMISSION MARCH 23, 2017 Printed for the use of the Committee on Banking, Housing, and Urban Affairs ( Available at: http://www.fdsys.gov/ U.S. GOVERNMENT PUBLISHING OFFICE 24–998 PDF WASHINGTON : 2017 For sale by the Superintendent of Documents, U.S. Government Publishing Office Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800 Fax: (202) 512–2104 Mail: Stop IDCC, Washington, DC 20402–0001 VerDate Nov 24 2008 12:32 May 01, 2017 Jkt 046629 PO 00000 Frm 00001 Fmt 5011 Sfmt 5011 L:\HEARINGS 2017\03-23 NOMINATION OF CLAYTON\HEARING\24988.TXT JASON COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS MIKE CRAPO, Idaho, Chairman RICHARD C. SHELBY, Alabama SHERROD BROWN, Ohio BOB CORKER, Tennessee JACK REED, Rhode Island PATRICK J. TOOMEY, Pennsylvania ROBERT MENENDEZ, New Jersey DEAN HELLER, Nevada JON TESTER, Montana TIM SCOTT, South Carolina MARK R. WARNER, Virginia BEN SASSE, Nebraska ELIZABETH WARREN, Massachusetts TOM COTTON, Arkansas HEIDI HEITKAMP, North Dakota MIKE ROUNDS, South Dakota JOE DONNELLY, Indiana DAVID PERDUE, Georgia BRIAN SCHATZ, Hawaii THOM TILLIS, North Carolina CHRIS VAN HOLLEN, Maryland JOHN KENNEDY, Louisiana CATHERINE CORTEZ MASTO, Nevada GREGG RICHARD, Staff Director MARK POWDEN, Democratic Staff Director ELAD ROISMAN,
    [Show full text]
  • L:\HEARINGS 2017\05-16 NOMINATIONS\HEARING\25925.TXT JASON COMMITTEE on BANKING, HOUSING, and URBAN AFFAIRS MIKE CRAPO, Idaho, Chairman RICHARD C
    S. HRG. 115–26 NOMINATIONS OF SIGAL P. MANDELKER, MIRA RADIELOVIC RICARDEL, MARSHALL BILLINGSLEA, AND HEATH P. TARBERT HEARING BEFORE THE COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS UNITED STATES SENATE ONE HUNDRED FIFTEENTH CONGRESS FIRST SESSION ON NOMINATIONS OF: SIGAL P. MANDELKER, OF NEW YORK, TO BE UNDER SECRETARY FOR TERRORISM AND FINANCIAL INTELLIGENCE, DEPARTMENT OF THE TREASURY MIRA RADIELOVIC RICARDEL, OF CALIFORNIA, TO BE UNDER SECRETARY FOR EXPORT ADMINISTRATION, DEPARTMENT OF COMMERCE MARSHALL BILLINGSLEA, OF VIRGINIA, TO BE ASSISTANT SECRETARY FOR TERRORIST FINANCING, DEPARTMENT OF THE TREASURY HEATH P. TARBERT, OF MARYLAND, TO BE ASSISTANT SECRETARY, INTERNATIONAL MARKETS AND DEVELOPMENT, DEPARTMENT OF THE TREASURY MAY 16, 2017 Printed for the use of the Committee on Banking, Housing, and Urban Affairs ( Available at: http://www.fdsys.gov/ U.S. GOVERNMENT PUBLISHING OFFICE 25–925 PDF WASHINGTON : 2017 For sale by the Superintendent of Documents, U.S. Government Publishing Office Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800 Fax: (202) 512–2104 Mail: Stop IDCC, Washington, DC 20402–0001 VerDate Nov 24 2008 14:28 Jun 26, 2017 Jkt 046629 PO 00000 Frm 00001 Fmt 5011 Sfmt 5011 L:\HEARINGS 2017\05-16 NOMINATIONS\HEARING\25925.TXT JASON COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS MIKE CRAPO, Idaho, Chairman RICHARD C. SHELBY, Alabama SHERROD BROWN, Ohio BOB CORKER, Tennessee JACK REED, Rhode Island PATRICK J. TOOMEY, Pennsylvania ROBERT MENENDEZ, New Jersey DEAN HELLER, Nevada JON
    [Show full text]