SEC operations implications of alternative funding structures.

SEC operations implications of alternative funding structures.

Author:

Publisher: DIANE Publishing

Published: 2002

Total Pages: 43

ISBN-13: 1428945733

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This report responds to a mandate in the Investor and Capital Markets Fee Relief Act (the Act) for GAO to study the implications of converting the Securities and Exchange Commission (SEC) to a self-funded basis. Although SEC is fully funded through fees it collects, SEC's current funding structure differs from the Act's definition of self-funding. The Act defines self-funding as an authorization for SEC "to deposit the receipts of its collections in the Treasury of the United States, or in a depository institution, but such deposits are not treated as Government or appropriated monies, and are available for the salaries and other expenses of the Commission and its employees without annual appropriation or apportionment." Although SEC currently deposits its collected fees in the Treasury, where its deposits are treated as offsetting collections and not general funds of the Treasury, it cannot deposit its fees in a depository institution, and its monies are annually appropriated and apportioned. In this report, we refer to the Act's definition of self-funding as a self-controlled funding structure.


SEC Operations

SEC Operations

Author: United States Government Accountability Office

Publisher: Createspace Independent Publishing Platform

Published: 2018-02-05

Total Pages: 34

ISBN-13: 9781985005020

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SEC Operations: Implications of Alternative Funding Structures


Standards for Internal Control in the Federal Government

Standards for Internal Control in the Federal Government

Author: United States Government Accountability Office

Publisher: Lulu.com

Published: 2019-03-24

Total Pages: 88

ISBN-13: 0359541828

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Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.


Guidelines for Public Expenditure Management

Guidelines for Public Expenditure Management

Author: Mr.Jack Diamond

Publisher: International Monetary Fund

Published: 1999-07-01

Total Pages: 84

ISBN-13: 9781557757876

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Traditionally, economics training in public finances has focused more on tax than public expenditure issues, and within expenditure, more on policy considerations than the more mundane matters of public expenditure management. For many years, the IMF's Public Expenditure Management Division has answered specific questions raised by fiscal economists on such missions. Based on this experience, these guidelines arose from the need to provide a general overview of the principles and practices observed in three key aspects of public expenditure management: budget preparation, budget execution, and cash planning. For each aspect of public expenditure management, the guidelines identify separately the differing practices in four groups of countries - the francophone systems, the Commonwealth systems, Latin America, and those in the transition economies. Edited by Barry H. Potter and Jack Diamond, this publication is intended for a general fiscal, or a general budget, advisor interested in the macroeconomic dimension of public expenditure management.


Model Rules of Professional Conduct

Model Rules of Professional Conduct

Author: American Bar Association. House of Delegates

Publisher: American Bar Association

Published: 2007

Total Pages: 216

ISBN-13: 9781590318737

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The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.