SEC and CFTC Fines Follow-up

SEC and CFTC Fines Follow-up PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 45

Book Description

SEC and CFTC fines followup collection programs are improving, but further steps are warranted.

SEC and CFTC fines followup collection programs are improving, but further steps are warranted. PDF Author:
Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51

Book Description

Sec and Cftc Fines Follow-up

Sec and Cftc Fines Follow-up PDF Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781978464858
Category :
Languages : en
Pages : 52

Book Description
SEC and CFTC Fines Follow-Up: Collection Programs Are Improving, but Further Steps Are Warranted

SEC and CFTC Fines Follow-up

SEC and CFTC Fines Follow-up PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages :

Book Description

SEC and CFTC Penalties

SEC and CFTC Penalties PDF 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.

Futures Trading Act of 1982

Futures Trading Act of 1982 PDF Author:
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 200

Book Description

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. PDF Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52

Book Description

Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)

Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) PDF Author: The Law The Law Library
Publisher: Createspace Independent Publishing Platform
ISBN: 9781721510160
Category :
Languages : en
Pages : 192

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

SEC PDF Author: Securities and Exchange commission
Publisher:
ISBN:
Category :
Languages : en
Pages : 18

Book Description

Money penalties securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees

Money penalties securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees PDF Author:
Publisher: DIANE Publishing
ISBN: 1428975101
Category :
Languages : en
Pages : 44

Book Description

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