SEC and CFTC

SEC and CFTC PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46

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: 1428976582
Category :
Languages : en
Pages : 44

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

Gao-05-670 Sec and Cftc Penalties

Gao-05-670 Sec and Cftc Penalties PDF 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

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

SEC and CFTC PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 37

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 most fines collected, but improvements needed in the use of Treasury's collection service.

SEC and CFTC most fines collected, but improvements needed in the use of Treasury's collection service. PDF Author:
Publisher: DIANE Publishing
ISBN: 1428949399
Category :
Languages : en
Pages : 42

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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