Author: United States. Commodity Futures Trading Commission
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 94
Book Description
A Joint Report of the SEC and the CFTC on Harmonization of Regulation
Author: United States. Commodity Futures Trading Commission
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 94
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 94
Book Description
Futures Trading Act of 1982
Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 188
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 188
Book Description
SEC and CFTC Penalties
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.
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.
SEC/CFTC Jurisdictional Issues and Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 678
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 678
Book Description
SEC/CFTC Jurisdictional Issues and Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 692
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 692
Book Description
SEC and CFTC
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46
Book Description
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46
Book Description
CFTC and SEC : issues related to the ShadJohnson Jurisdictional Accord : report to congressional requesters
Author:
Publisher: DIANE Publishing
ISBN: 1428970398
Category :
Languages : en
Pages : 52
Book Description
Publisher: DIANE Publishing
ISBN: 1428970398
Category :
Languages : en
Pages : 52
Book Description
Financial Regulation
Author: Orice Williams Brown
Publisher: DIANE Publishing
ISBN: 1437932541
Category : Law
Languages : en
Pages : 58
Book Description
The auditor was directed to assess the joint report of the SEC and the Commodity Futures Trading Commission (CFTC) on harmonization of their regulatory approaches. In Oct. 2009, CFTC and SEC issued this report in response to the Dept. of the Treasury¿s recommendation that the two agencies assess conflicts in their rules and statutes with respect to similar financial instruments. This reports objectives were to review: (1) how CFTC and SEC identified and assessed harmonization opportunities; (2) the agencies¿ progress toward implementing the joint report¿s recommendations; and (3) additional steps the agencies could take to reduce inconsistencies and overlap in their oversight. Charts and tables.
Publisher: DIANE Publishing
ISBN: 1437932541
Category : Law
Languages : en
Pages : 58
Book Description
The auditor was directed to assess the joint report of the SEC and the Commodity Futures Trading Commission (CFTC) on harmonization of their regulatory approaches. In Oct. 2009, CFTC and SEC issued this report in response to the Dept. of the Treasury¿s recommendation that the two agencies assess conflicts in their rules and statutes with respect to similar financial instruments. This reports objectives were to review: (1) how CFTC and SEC identified and assessed harmonization opportunities; (2) the agencies¿ progress toward implementing the joint report¿s recommendations; and (3) additional steps the agencies could take to reduce inconsistencies and overlap in their oversight. Charts and tables.
SEC/CFTC Jurisdictional Issues
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 336
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 336
Book Description
SEC/CFTC Jurisdictional Issues and Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 828
Book Description
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 828
Book Description