Futures Trading Act of 1982
Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
Published: 1982
Total Pages: 188
ISBN-13:
DOWNLOAD EBOOKPosts
A Joint Report of the SEC and the CFTC on Harmonization of Regulation
Author: United States. Commodity Futures Trading Commission
Publisher:
Published: 2009
Total Pages: 94
ISBN-13:
DOWNLOAD EBOOKSEC/CFTC Jurisdictional Issues and Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
Published: 1982
Total Pages: 678
ISBN-13:
DOWNLOAD EBOOKSEC and CFTC Penalties
Author: Richard J. Hillman
Publisher: DIANE Publishing
Published: 2006-03
Total Pages: 50
ISBN-13: 9781422304402
DOWNLOAD EBOOKThe 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:
Published: 1982
Total Pages: 828
ISBN-13:
DOWNLOAD EBOOKSEC/CFTC Jurisdictional Issues and Oversight
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
Published: 1982
Total Pages: 692
ISBN-13:
DOWNLOAD EBOOKPonzimonium
Author: Bartholomew H. Chilton
Publisher: Us Independent Agencies and Commissions
Published: 2011-10-25
Total Pages: 86
ISBN-13:
DOWNLOAD EBOOKTrue stories of crime and punishment that will inform and educate anyone who wants to find out how to identify and avoid becoming entangled in an investment fraud.
SEC/CFTC Jurisdictional Issues
Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Publisher:
Published: 1990
Total Pages: 336
ISBN-13:
DOWNLOAD EBOOKSEC Docket
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1994
Total Pages: 892
ISBN-13:
DOWNLOAD EBOOKFinancial Regulation
Author: Orice Williams Brown
Publisher: DIANE Publishing
Published: 2010-08
Total Pages: 58
ISBN-13: 1437932541
DOWNLOAD EBOOKThe 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.
