Futures Trading Act of 1982 PDF Download

Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Futures Trading Act of 1982 PDF full book. Access full book title Futures Trading Act of 1982 by United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Download full books in PDF and EPUB format.

Futures Trading Act of 1982

Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 188

Book Description

Futures Trading Act of 1982

Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 188

Book Description

Securities Investor Protection Act of 1970

Author: United States
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 26

Book Description

A Joint Report of the SEC and the CFTC on Harmonization of Regulation

Author: United States. Commodity Futures Trading Commission
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 94

Book Description

CFTC and SEC : issues related to the ShadJohnson Jurisdictional Accord : report to congressional requesters

Author:
Publisher: DIANE Publishing
ISBN: 1428970398
Category :
Languages : en
Pages : 52

Book Description

SEC/CFTC Jurisdictional Issues and Oversight

Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 678

Book Description

SEC/CFTC Jurisdictional Issues and Oversight

Book Description

SEC/CFTC Jurisdictional Issues and Oversight

Book Description

SEC and CFTC Penalties

Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9781422304402
Category :
Languages : en
Pages : 50

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/CFTC Jurisdictional Issues

Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 336

Book Description

Financial Regulation

Author: Orice Williams Brown
Publisher: DIANE Publishing
ISBN: 1437932541
Category : Law
Languages : en
Pages : 58

Book Description
The auditor was directed to assess the joint report of the SEC and the Commodity Futures Trading Commission (CFTC) on harmonization of their regulatory approaches. In Oct. 2009, CFTC and SEC issued this report in response to the Dept. of the Treasury¿s recommendation that the two agencies assess conflicts in their rules and statutes with respect to similar financial instruments. This reports objectives were to review: (1) how CFTC and SEC identified and assessed harmonization opportunities; (2) the agencies¿ progress toward implementing the joint report¿s recommendations; and (3) additional steps the agencies could take to reduce inconsistencies and overlap in their oversight. Charts and tables.