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.
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 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
SEC and CFTC Penalties
Author: United States. Government Accountability Office
Publisher:
ISBN:
Category : Collection laws
Languages : en
Pages : 47
Book Description
Publisher:
ISBN:
Category : Collection laws
Languages : en
Pages : 47
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: 1428975101
Category :
Languages : en
Pages : 44
Book Description
Publisher: DIANE Publishing
ISBN: 1428975101
Category :
Languages : en
Pages : 44
Book Description
Gao-05-670 Sec and Cftc Penalties
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
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 followup collection programs are improving, but further steps are warranted.
Author:
Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51
Book Description
Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51
Book Description
SEC and CFTC Fines Follow-up
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 45
Book Description
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 45
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
Publisher: DIANE Publishing
ISBN: 1428949399
Category :
Languages : en
Pages : 42
Book Description
Sec and Cftc Fines Follow-up
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
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
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 37
Book Description
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 37
Book Description