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Securities And Exchange Comm Greater Attention Is Needed To Enhance Communication And Utilization Of Resources In The Division Of Enforcement
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Book Synopsis Securities and Exchange Comm: Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement by : Richard J. Hillman
Download or read book Securities and Exchange Comm: Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2009-12 with total page 14 pages. Available in PDF, EPUB and Kindle. Book excerpt: In recent years, questions have been raised about the capacity of the SEC Div. of Enforcement to manage its resources and fulfill its law enforcement and investor protection responsibilities. This testimony focuses on: (1) the extent to which the Div. of Enforcement has an appropriate mix of resources; (2) considerations affecting penalty determinations, and recent trends in penalties and disgorgements ordered; and (3) the adoption, implementation, and effects of recent penalty policies. For this work, Hillman analyzed information on resources, enforcement actions, and penalties; and interviewed current and former SEC officials and staff, and others.
Book Synopsis Securities and Exchange Commission by : Mary L. Schapiro
Download or read book Securities and Exchange Commission written by Mary L. Schapiro and published by DIANE Publishing. This book was released on 2009-12 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt: The SEC Div. of Enforcement (Enforcement) plays a key role in meeting the agency's mission to protect investors and maintain fair and orderly markets. In recent years, Enforcement has brought cases yielding record civil penalties, but questions have been raised about its capacity to manage its resources and fulfill its law enforcement and investor protection responsibilities. This report evaluates: (1) SEC's progress toward implementing previous recommendations; (2) the extent to which Enforcement has an appropriate mix of resources dedicated to achieving its objectives; and (3) the adoption, implementation, and effects of recent penalty policies. Includes recommendations. Charts and tables.
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment Publisher : ISBN 13 : Total Pages :94 pages Book Rating :4.3/5 (91 download)
Book Synopsis Strengthening the SEC's Vital Enforcement Responsibilities by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Download or read book Strengthening the SEC's Vital Enforcement Responsibilities written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment and published by . This book was released on 2009 with total page 94 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Political Heart of Criminal Procedure by : Michael Klarman
Download or read book The Political Heart of Criminal Procedure written by Michael Klarman and published by Cambridge University Press. This book was released on 2012 with total page 247 pages. Available in PDF, EPUB and Kindle. Book excerpt: This volume brings together twelve leading American criminal justice scholars whose own writings have been profoundly influenced by William Stuntz and his work. Both as a tribute to Stuntz's work and as a source of profound new insights, this book examines his role in the renaissance of criminal procedure as a cutting-edge discipline, and as inseparably linked to substantive criminal law.
Book Synopsis Regulatory Breakdown by : Cary Coglianese
Download or read book Regulatory Breakdown written by Cary Coglianese and published by University of Pennsylvania Press. This book was released on 2012-08-16 with total page 290 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation brings fresh insight and analytic rigor to what has become one of the most contested domains of American domestic politics. Critics from the left blame lax regulation for the housing meltdown and financial crisis—not to mention major public health disasters ranging from the Gulf Coast oil spill to the Upper Big Branch Mine explosion. At the same time, critics on the right disparage an excessively strict and costly regulatory system for hampering economic recovery. With such polarized accounts of regulation and its performance, the nation needs now more than ever the kind of dispassionate, rigorous scholarship found in this book. With chapters written by some of the nation's foremost economists, political scientists, and legal scholars, Regulatory Breakdown brings clarity to the heated debate over regulation by dissecting the disparate causes of the current crisis as well as analyzing promising solutions to what ails the U.S. regulatory system. This volume shows policymakers, researchers, and the public why they need to question conventional wisdom about regulation—whether from the left or the right—and demonstrates the value of undertaking systematic analysis before adopting policy reforms in the wake of disaster.
Book Synopsis Securities and Exchange Commission (SEC) by : A. Nicole Clowers
Download or read book Securities and Exchange Commission (SEC) written by A. Nicole Clowers and published by DIANE Publishing. This book was released on 2011-04 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC may order civil monetary penalties and seek ill-gotten financial gains, or disgorgement, from individuals who violate fed. securities laws and regulations. In 2002, Congress passed the Sarbanes-Oxley Act, which established numerous reforms to increase investor protection, including Sect. 308(a), the Fed. Account for Investor Restitution provision. This provision allows SEC to combine civil monetary penalties and other donations to disgorgement funds for the benefit of investors who suffer losses resulting from fraud or other securities violations. This report examines: (1) the status of Fair Fund collections and distributions; and (2) the actions that SEC has taken to address previous recommend. Illus. This is a print on demand report.
Book Synopsis Corporate Governance by : H. Kent Baker
Download or read book Corporate Governance written by H. Kent Baker and published by John Wiley & Sons. This book was released on 2010-08-20 with total page 690 pages. Available in PDF, EPUB and Kindle. Book excerpt: A detailed look at the importance of corporate governance in today's business world The importance of corporate governance became dramatically clear at the beginning of the twenty-first century as a series of corporate meltdowns from managerial fraud, misconduct, and negligence caused a massive loss of shareholder wealth. As part of the Robert W. Kolb Series in Finance, this book provides a comprehensive view of the shareholder-manager relationship and examines the current state of governance mechanisms in mitigating the principal-agent conflict. This book also offers informed suggestions and predictions about the future direction of corporate governance. Relies on recent research findings to provide guidance through the maze of theories and concepts Uses a structured approach to put corporate governance in perspective Addresses essential issues related to corporate governance including the idea of principal-agent conflict, role of the board of directors, executive compensation, corporate monitoring, proxy contests and corporate takeovers, and regulatory intervention Corporate governance is an essential part of mainstream finance. If you need to gain a better understanding of this topic, look no further than this book.
Author :United States. Congress. House. Committee on Oversight and Government Reform Publisher : ISBN 13 : Total Pages :112 pages Book Rating :4.:/5 (327 download)
Book Synopsis Bank of America and Merrill Lynch by : United States. Congress. House. Committee on Oversight and Government Reform
Download or read book Bank of America and Merrill Lynch written by United States. Congress. House. Committee on Oversight and Government Reform and published by . This book was released on 2009 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :152 pages Book Rating :4.:/5 (327 download)
Book Synopsis Oversight of the Securities and Exchange Commission's Failure to Identify the Bernard L. Madoff Ponzi Scheme and how to Improve SEC Performance by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book Oversight of the Securities and Exchange Commission's Failure to Identify the Bernard L. Madoff Ponzi Scheme and how to Improve SEC Performance written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2010 with total page 152 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities and Exchange Commission by : United States Accounting Office (GAO)
Download or read book Securities and Exchange Commission written by United States Accounting Office (GAO) and published by Createspace Independent Publishing Platform. This book was released on 2018-05-16 with total page 28 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities and Exchange Commission: Greater Attention Is Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement
Book Synopsis SEC Docket by : United States. Securities and Exchange Commission
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2008 with total page 1312 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities and Exchange Commission by : United States. Government Accountability Office
Download or read book Securities and Exchange Commission written by United States. Government Accountability Office and published by . This book was released on 2009 with total page 59 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Bulletin of the Atomic Scientists by :
Download or read book Bulletin of the Atomic Scientists written by and published by . This book was released on 1955-04 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Bulletin of the Atomic Scientists is the premier public resource on scientific and technological developments that impact global security. Founded by Manhattan Project Scientists, the Bulletin's iconic "Doomsday Clock" stimulates solutions for a safer world.
Author :United States Government Accountability Office Publisher :Createspace Independent Publishing Platform ISBN 13 :9781984124265 Total Pages :64 pages Book Rating :4.1/5 (242 download)
Book Synopsis Securities and Exchange Commission by : United States Government Accountability Office
Download or read book Securities and Exchange Commission written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-01-23 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities and Exchange Commission: Greater Attention Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement
Book Synopsis Bulletin of the Atomic Scientists by :
Download or read book Bulletin of the Atomic Scientists written by and published by . This book was released on 1966-06 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Bulletin of the Atomic Scientists is the premier public resource on scientific and technological developments that impact global security. Founded by Manhattan Project Scientists, the Bulletin's iconic "Doomsday Clock" stimulates solutions for a safer world.
Book Synopsis Bulletin of the Atomic Scientists by :
Download or read book Bulletin of the Atomic Scientists written by and published by . This book was released on 1992-05 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :American Bar Association. House of Delegates Publisher :American Bar Association ISBN 13 :9781590318737 Total Pages :216 pages Book Rating :4.3/5 (187 download)
Book Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
