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Author: United States Government Accountability Office Publisher: Createspace Independent Publishing Platform ISBN: 9781984332660 Category : Languages : en Pages : 52
Book Description
GAO-05-670 SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
Author: United States Government Accountability Office Publisher: Createspace Independent Publishing Platform ISBN: 9781984332660 Category : Languages : en Pages : 52
Book Description
GAO-05-670 SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
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.
Author: Jason H. Burns Publisher: Nova Publishers ISBN: 9781604562965 Category : Business & Economics Languages : en Pages : 110
Book Description
This book focuses on four energy commodities -- crude oil, unleaded gasoline, natural gas, and heating oil -- and Commodity Futures Trading Commission's oversight of these commodities. Specifically, this report examines (1) trends and patterns of trading activity in the physical and energy derivatives markets and the effects of those trends on prices; (2) the scope of CFTC's authority for protecting market users from fraudulent, manipulative, and abusive practices in the trading of energy futures contracts; and (3) the effectiveness of CFTC's monitoring and detection of market abuses in energy futures markets and in connection with energy-related enforcement actions. This is an excerpted, edited and indexed version of a GAO report.
Author: A. Nicole Clowers Publisher: DIANE Publishing ISBN: 1437932568 Category : Business & Economics Languages : en Pages : 34
Book Description
SEC may order civil monetary penalties and seek ill-gotten financial gains, or disgorgement, from individuals who violate fed. securities laws and regulations. In 2002, Congress passed the Sarbanes-Oxley Act, which established numerous reforms to increase investor protection, including Sect. 308(a), the Fed. Account for Investor Restitution provision. This provision allows SEC to combine civil monetary penalties and other donations to disgorgement funds for the benefit of investors who suffer losses resulting from fraud or other securities violations. This report examines: (1) the status of Fair Fund collections and distributions; and (2) the actions that SEC has taken to address previous recommend. Illus. This is a print on demand report.
Author: Yale Law Journal Publisher: Quid Pro Books ISBN: 1610278518 Category : Law Languages : en Pages : 370
Book Description
The October 2014 issue of The Yale Law Journal (the first for academic year 2014-2015) features new articles, notes, and comments on law and legal theory. Contents include: • Article, "Self-Help and the Separation of Powers," by David E. Pozen • Article, "Criminal Attempts," by Gideon Yaffe • Note, "The Rise of Institutional Mortgage Lending in Early Nineteenth-Century New Haven," by Steven J. Kochevar • Comment, "SEC 'Monetary Penalties Speak Very Loudly,' But What Do They Say? A Critical Analysis of the SEC's New Enforcement Approach," by Sonia A. Steinway • Comment, "Contract After Concepcion: Some Lessons from the State Courts," by James Dawson This quality ebook edition features linked notes, active Contents, active URLs in notes, and proper Bluebook formatting. The Oct. 2014 issue is Volume 124, Number 1.
Author: Mary L. Schapiro Publisher: DIANE Publishing ISBN: 1437917666 Category : Law Languages : en Pages : 64
Book Description
The SEC Div. of Enforcement (Enforcement) plays a key role in meeting the agency's mission to protect investors and maintain fair and orderly markets. In recent years, Enforcement has brought cases yielding record civil penalties, but questions have been raised about its capacity to manage its resources and fulfill its law enforcement and investor protection responsibilities. This report evaluates: (1) SEC's progress toward implementing previous recommendations; (2) the extent to which Enforcement has an appropriate mix of resources dedicated to achieving its objectives; and (3) the adoption, implementation, and effects of recent penalty policies. Includes recommendations. Charts and tables.
Author: Jay Liebowitz Publisher: Scarecrow Press ISBN: 1461723329 Category : Education Languages : en Pages : 139
Book Description
Social network analysis (SNA) is a technique that is used to determine knowledge flows and gaps in mapping social networks for various knowledge types. Social Networking: The Essence of Innovation discusses how social networking and SNA can influence innovation in an organization through the presentation of a broad range of concepts, examples, and case studies. The book's initial chapters deal with developing personal knowledge networks, linking social networking to innovation and strategic intelligence, and exploring synergies among knowledge management, business intelligence, and competitive intelligence. The introduction, an overview of social network analysis, is followed by case studies and an exploration of applications, including knowledge mapping and the analysis of organizations. Software systems devoted to these areas are described, citing results achieved, and a final chapter takes a look at future prospects, making this an essential tool for managers, executives, business analysts, educators, and strategic planners.
Author: David M. Walker Publisher: DIANE Publishing ISBN: 9781422304976 Category : Business & Economics Languages : en Pages : 86
Book Description
Established in 1934 to enforce the securities laws & protect investors, the Securities & Exchange Comm. (SEC) plays an important role in maintaining the integrity of the U.S. securities markets. Pursuant to the Accountability of Tax Dollars Act of 2002, the SEC is required to prepare & submit to Congress & the Office of Mgmt. & Budget audited financial statements. This report is an audit of SEC's financial statements. The audit was done to determine whether, in all material respects: (1) SEC's FY 2005 financial statements were reliable; & (2) SEC's management maintained effective internal control over financial reporting & compliance with laws & regulations. SEC's compliance with certain laws & regulations were also tested. Charts & tables.
Author: United States Government Accountability Office
Author: United States Government Accountability Office
Author: Richard J. Hillman
Author: 
Author: Jason H. Burns
Author: A. Nicole Clowers
Author: Yale Law Journal
Author: 
Author: Mary L. Schapiro
Author: Jay Liebowitz
Author: David M. Walker