Author: Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52
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 Penalities
Author: 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.
Gao-05-670 Sec and Cftc Penalties
Author: United States Government Accountability OfficePublisher: 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
The Securities Enforcement Manual
Author: Nicole A. BakerPublisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774
Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
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
Money penalties securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees
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.
Author: Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51
Book Description
Securities and Exchange Comm: Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement
Author: Richard J. HillmanPublisher: DIANE Publishing
ISBN: 1437916333
Category : Political Science
Languages : en
Pages : 14
Book Description
In recent years, questions have been raised about the capacity of the SEC Div. of Enforcement to manage its resources and fulfill its law enforcement and investor protection responsibilities. This testimony focuses on: (1) the extent to which the Div. of Enforcement has an appropriate mix of resources; (2) considerations affecting penalty determinations, and recent trends in penalties and disgorgements ordered; and (3) the adoption, implementation, and effects of recent penalty policies. For this work, Hillman analyzed information on resources, enforcement actions, and penalties; and interviewed current and former SEC officials and staff, and others.