SEC and CFTC fines followup collection programs are improving, but further steps are warranted.
Author :
Publisher : DIANE Publishing
Page : 51 pages
File Size : 40,10 MB
Release :
Category :
ISBN : 1428943137
Futures Trading Act of 1982
Author :
Publisher :
Page : 204 pages
File Size : 21,67 MB
Release : 1983
Category : Commodity exchanges
ISBN :
Book Description
SEC and CFTC Penalties
Author : Richard J. Hillman
Publisher : DIANE Publishing
Page : 50 pages
File Size : 43,83 MB
Release : 2006-03
Category : Business & Economics
ISBN : 9781422304402
Book Description
The SEC & Commodity Futures Trading Comm. (CFTC) impose penalties, disgorgements, & restitution on proven & alleged violators of the securities & futures laws, respectively. The GAO has issued a number of previous reports on agency collection efforts & made numerous recommendations for improvement. This report follows up on open issues from the previous reports &: (1) discusses SEC's progress in improving its tracking of penalty & disgorgement collection data; (2) assesses the steps SEC has taken to improve collection program management; (3) evaluates SEC's implementation of the Fair Fund provision in the Sarbanes-Oxley Act of 2002; & (4) describes CFTC's actions to address previous recommendations. Charts & tables.
SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.
Author :
Publisher : DIANE Publishing
Page : 52 pages
File Size : 34,75 MB
Release : 2005
Category :
ISBN : 142893409X
Book Description
Reviewing U.S. capital market structure
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Publisher :
Page : 248 pages
File Size : 40,41 MB
Release : 2003
Category : Business & Economics
ISBN :
Book Description
CFTC Report
Author :
Publisher :
Page : 36 pages
File Size : 47,94 MB
Release : 1987
Category : Commodity exchanges
ISBN :
Book Description
Securities Regulation & Law Report
Author :
Publisher :
Page : 1148 pages
File Size : 24,55 MB
Release : 2003
Category : Securities
ISBN :
Book Description
Monthly Catalog of United States Government Publications
Author :
Publisher :
Page : 1000 pages
File Size : 44,61 MB
Release : 2004
Category : Government publications
ISBN :
Book Description
Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)
Author : The Law The Law Library
Publisher : Createspace Independent Publishing Platform
Page : 192 pages
File Size : 12,32 MB
Release : 2018-06-16
Category :
ISBN : 9781721510160
Book Description
Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 On July 12, 2012, the Commodity Futures Trading Commission ("Commission" or "CFTC") published for public comment its proposed interpretive guidance and policy statement ("Proposed Guidance") regarding the cross-border application of the swaps provisions of the Commodity Exchange Act ("CEA"), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "Dodd-Frank"). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance ("Further Proposed Guidance"). This book contains: - The complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
SEC/CFTC Jurisdictional Issues and Oversight
Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher :
Page : 840 pages
File Size : 13,30 MB
Release : 1982
Category : Commodity exchanges
ISBN :
