Author: United States. General Accounting OfficePublisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46
Book Description
SEC and CFTC
Author: United States. General Accounting OfficePublisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46
Book Description
SEC and CFTC most fines collected, but improvements needed in the use of Treasury's collection service.
Author: Publisher: DIANE Publishing
ISBN: 1428949399
Category :
Languages : en
Pages : 42
Book Description
SEC and Cftc
Author: United States Accounting OfficePublisher: Createspace Independent Publishing Platform
ISBN: 9781985283244
Category :
Languages : en
Pages : 42
Book Description
GAO-01-900 SEC and CFTC: Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
SEC and CFTC
Author: United States. General Accounting OfficePublisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 37
Book Description
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
ISBN: 142893409X
Category :
Languages : en
Pages : 52
Book Description
SEC and CFTC Penalties
Author: Richard J. HillmanPublisher: 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 and CFTC fines followup collection programs are improving, but further steps are warranted.
Author: Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51
Book Description
Month in Review ...
Author: Harvard Law Review: Volume 127, Number 3 - January 2014
Author: Harvard Law ReviewPublisher: Quid Pro Books
ISBN: 1610272226
Category : Law
Languages : en
Pages : 304
Book Description
The January 2014 issue (Volume 127, Number 3) includes the following articles and student contributions: * Article, "For-Profit Public Enforcement," by Margaret H. Lemos and Max Minzner * Book Review, "Technological Determinism and Its Discontents," by Christopher S. Yoo * Note, "More than a Formality: The Case for Meaningful Substantive Reasonableness Review" * Note, "Appointing State Attorneys General: Evaluating the Unbundled State Executive" * Note, "The Devil Wears Trademark: How the Fashion Industry Has Expanded Trademark Doctrine to Its Detriment" In addition, student case notes explore recent cases on misleading law school employment data, the First Amendment religious rights of for-profit corporations, regulation of nuclear energy, forensic search of laptops at the border, search of cellphone date incident to arrest, obscene or lewd student speech, and access to polling places for news-gathering purposes. Finally, the issue includes several summaries of Recent Publications. The issue is offered in a quality digital edition, featuring active Contents, linked notes, active URLs in notes, and proper ebook formatting. The contents of Number 3 include scholarly essays by leading academic figures, as well as substantial student research. The Review is a student-run organization whose primary purpose is to publish a journal of legal scholarship. The organization is formally independent of the Harvard Law School; student editors make all editorial and organizational decisions.
SEC operations implications of alternative funding structures.
Author: Publisher: DIANE Publishing
ISBN: 1428945733
Category :
Languages : en
Pages : 43
Book Description
This report responds to a mandate in the Investor and Capital Markets Fee Relief Act (the Act) for GAO to study the implications of converting the Securities and Exchange Commission (SEC) to a self-funded basis. Although SEC is fully funded through fees it collects, SEC's current funding structure differs from the Act's definition of self-funding. The Act defines self-funding as an authorization for SEC "to deposit the receipts of its collections in the Treasury of the United States, or in a depository institution, but such deposits are not treated as Government or appropriated monies, and are available for the salaries and other expenses of the Commission and its employees without annual appropriation or apportionment." Although SEC currently deposits its collected fees in the Treasury, where its deposits are treated as offsetting collections and not general funds of the Treasury, it cannot deposit its fees in a depository institution, and its monies are annually appropriated and apportioned. In this report, we refer to the Act's definition of self-funding as a self-controlled funding structure.