SEC and CFTC fines followup collection programs are improving, but further steps are warranted.
Author:
Publisher: DIANE Publishing
Published:
Total Pages: 51
ISBN-13: 1428943137
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Author:
Publisher: DIANE Publishing
Published:
Total Pages: 51
ISBN-13: 1428943137
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Publisher: DIANE Publishing
Published: 2005
Total Pages: 52
ISBN-13: 142893409X
DOWNLOAD EBOOKAuthor: 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.
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
Published: 2017-10-21
Total Pages: 52
ISBN-13: 9781978464858
DOWNLOAD EBOOKSEC and CFTC Fines Follow-Up: Collection Programs Are Improving, but Further Steps Are Warranted
Author: Jason H. Burns
Publisher: Nova Publishers
Published: 2008
Total Pages: 110
ISBN-13: 9781604562965
DOWNLOAD EBOOKThis book focuses on four energy commodities -- crude oil, unleaded gasoline, natural gas, and heating oil -- and Commodity Futures Trading Commission's oversight of these commodities. Specifically, this report examines (1) trends and patterns of trading activity in the physical and energy derivatives markets and the effects of those trends on prices; (2) the scope of CFTC's authority for protecting market users from fraudulent, manipulative, and abusive practices in the trading of energy futures contracts; and (3) the effectiveness of CFTC's monitoring and detection of market abuses in energy futures markets and in connection with energy-related enforcement actions. This is an excerpted, edited and indexed version of a GAO report.
Author: Harvard Law Review
Publisher: Quid Pro Books
Published: 2014-01-15
Total Pages: 304
ISBN-13: 1610272226
DOWNLOAD EBOOKThe January 2014 issue (Volume 127, Number 3) includes the following articles and student contributions: * Article, "For-Profit Public Enforcement," by Margaret H. Lemos and Max Minzner * Book Review, "Technological Determinism and Its Discontents," by Christopher S. Yoo * Note, "More than a Formality: The Case for Meaningful Substantive Reasonableness Review" * Note, "Appointing State Attorneys General: Evaluating the Unbundled State Executive" * Note, "The Devil Wears Trademark: How the Fashion Industry Has Expanded Trademark Doctrine to Its Detriment" In addition, student case notes explore recent cases on misleading law school employment data, the First Amendment religious rights of for-profit corporations, regulation of nuclear energy, forensic search of laptops at the border, search of cellphone date incident to arrest, obscene or lewd student speech, and access to polling places for news-gathering purposes. Finally, the issue includes several summaries of Recent Publications. The issue is offered in a quality digital edition, featuring active Contents, linked notes, active URLs in notes, and proper ebook formatting. The contents of Number 3 include scholarly essays by leading academic figures, as well as substantial student research. The Review is a student-run organization whose primary purpose is to publish a journal of legal scholarship. The organization is formally independent of the Harvard Law School; student editors make all editorial and organizational decisions.
Author: Gary Previts
Publisher: Elsevier
Published: 2004-09-17
Total Pages: 347
ISBN-13: 0080545459
DOWNLOAD EBOOKThe scope of service provided by professional accountants is influenced by legislation and case law as well as the dictates of a variety of government and private sector agencies: including State Boards of Accountancy, Academic Accreditation Bodies, the United States Securities and Exchange Commission, the Public Company Accounting Oversight Board, independent standard setting bodies such as the Federal Accounting Standards Advisory Board (US), the Financial Accounting Standards Board (US), the International Accounting Standards Board and self-regulatory organizations such as State Societies of CPA and the American Institute of Certified Public Accountants. There are equivalent and emerging local international bodies that exist in most developed countries. It is important for academics, students, practitioners, regulators and researchers to consider, study and understand the role and relationship of such bodies with the practice and content of our discipline.Research in Accounting Regulation is a refereed annual serial that seeks to publish high quality manuscripts, which address regulatory issues and policy affecting the practice of accountancy, broadly defined. Topics of interest include research based on: 1) Self-regulatory activities. 2) Case law and litigation. 3) Governmental and quasi-governmental regulation. 4) The economics of regulation, including modelling.This research series aims to encourage the submission of original empirical, behavioural or applied research manuscripts that consider strategic and policy implications for regulation, regulatory models and markets. It is intended for individual researchers, practitioners, regulators and students of accountancy who desire to increase their understanding of the regulation of accountancy.
Author: Commerce Clearing House
Publisher:
Published: 1974
Total Pages: 2192
ISBN-13:
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Publisher:
Published: 2003
Total Pages: 1148
ISBN-13:
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