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Securities And Exchange Commission Existing Post Employment Controls Could Be Further Strengthened
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Book Synopsis Securities and Exchange Commission: Existing Post-Employment Controls Could Be Further Strengthened by : A. Nicole Clowers
Download or read book Securities and Exchange Commission: Existing Post-Employment Controls Could Be Further Strengthened written by A. Nicole Clowers and published by DIANE Publishing. This book was released on 2012-10-19 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities and Exchange Commission by : U.s. Government Accountability Office
Download or read book Securities and Exchange Commission written by U.s. Government Accountability Office and published by . This book was released on 2017-08-13 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Many Securities and Exchange Commission (SEC) employees leave the SEC each year, and some of these former employees go to work for firms regulated by SEC or the law or consulting firms that represent them. This practice raises questions about the potential impact on SEC's ability to effectively carry out its mission, including the potential for undue influence by former SEC employees on SEC matters or cases. The Dodd-Frank Wall Street Reform and Consumer Protection Act required GAO to examine the movement of former SEC employees to regulated firms and the associated concerns. Among other things, this report examines (1) the extent to which employees leave SEC to work for or represent regulated entities and the potential issues associated with such movements and (2) internal controls SEC has in place to manage potential conflicts of interest and how these controls compare across other agencies. To address these objectives, GAO analyzed data on former SEC employees, reviewed SEC's and other agencies' internal controls, and interviewed current and former SEC officials. GAO recommends that SEC establish standards for documentation of ethics advice on current and post-employment issues associated with the movement"
Book Synopsis Rethinking Securities Law by : Marc I. Steinberg
Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Book Synopsis Chasing the Tape by : Onnig H. Dombalagian
Download or read book Chasing the Tape written by Onnig H. Dombalagian and published by MIT Press. This book was released on 2015-03-20 with total page 381 pages. Available in PDF, EPUB and Kindle. Book excerpt: An examination of regulation and use of information in capital markets, offering comparisons across different jurisdictions, regulated entities, and financial instruments. Financial information is a both a public resource and a commodity that market participants produce and distribute in connection with other financial products and services. Legislators, regulators, and other policy makers must therefore balance the goal of making information transparent, accessible, and useful for the collective benefit of society against the need to maintain appropriate incentives for information originators and intermediaries. In Chasing the Tape, Onnig Dombalagian examines the policy objectives and regulatory tools that shape the information production chain in capital markets in the United States, the European Union, and other jurisdictions. His analysis offers a unique cross section of capital market infrastructure, spanning different countries, regulated entities, and financial instruments. Dombalagian uses four key categories of information—issuer information, market information, information used in credit analysis, and benchmarks—to survey the market forces and regulatory regimes that govern the flow of information in capital markets. He considers the similarities and differences in regulatory aims and strategies across categories, and discusses alternative approaches proposed or adopted by scholars and policy makers. Dombalagian argues that the long-term regulatory challenges raised by economic globalization and advanced information technology will require policy makers to decouple information policy in capital markets from increasingly arbitrary historical classifications and jurisdictional boundaries.
Download or read book Tragedy of Kings written by Dan Taber and published by Dan Taber. This book was released on 2018-09-14 with total page 148 pages. Available in PDF, EPUB and Kindle. Book excerpt: "As a crime fiction writer, I know you can’t make this stuff up. As an American, I’m troubled that it is still so entirely believable—and topical—some fifty years later." —Theresa Schwegel, Edgar Award Winner In 1999, a largely unknown civil trial found government agencies guilty of conspiring to assassinate Martin Luther King. The verdict and other circumstances have cast doubt on initial findings that a blundering criminal named James Earl Ray operated as the lone perpetrator. Drawing from a vast bounty of shrouded government reports, preeminent books, articles and witness accounts, Dan Taber offers an astute answer to the question of who was really responsible for the death of the greatest equal rights proponent America has ever seen. Curiously, that answer is connected to a continually unfolding story. Fifty years later, echoes of the civil rights era resound. Systemic racism remains and the forces that foster wealth inequality have grown stronger. In order to cultivate change, it is necessary to recognize the obstacles to cultural progress. Therein lies the extraordinary value of Tragedy of Kings. It traces the evolution of gluttonous corporate strategies and demonstrates how propaganda is driven into the minds of voters through industry-backed online campaigns. Incidentally, the destructive impacts of business consolidation, white-collar crime and inadequate education are illuminated. There are a lot of reasons why all of this matters, but most importantly, knowledge is the power that will revive King’s dream.
Download or read book Fed Power written by Lawrence Jacobs and published by Oxford University Press. This book was released on 2021-02-12 with total page 305 pages. Available in PDF, EPUB and Kindle. Book excerpt: An eye-opening analysis of the Federal Reserve's massive and unwarranted power in American life and how it favors the financial sector over everyone else. The Federal Reserve, created more than a century ago, is the most powerful central bank in the world. The Fed's power, which derives from its ability to alter the money supply and move interest rates, weighs heavily not only on the US economy, but on the world economy as well. Lawrence R. Jacobs and Desmond King's Fed Power is the first sustained synthesis of the Fed's political role--especially the way in which it uses its power to benefit some interest groups and not others--since the 2008 financial crisis. In this fully updated and revised second edition, Fed Power addresses new developments during Trump's presidency--particularly the Fed's massive and unprecedented injection of liquidity into the US economy following the COVID epidemic-and offers fresh insights on the Fed's outsized role in picking winners and losers in the American economy. King and Jacobs conclude with bold proposals to reform America's financial management to prevent future crises and to restore democratic accountability. A powerful critique of how the Federal Reserve governs the American economy, Fed Power will be essential reading for anyone interested in the role that the Fed's policies have played in increasing economic and racial inequality across both the Obama and Trump presidencies and the new directions pursued by the Biden administration and progressive activists.
Author :United States Government Accountability Office Publisher :Createspace Independent Publishing Platform ISBN 13 :9781983745423 Total Pages :38 pages Book Rating :4.7/5 (454 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 2018-01-11 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities and Exchange Commission: Existing Post-Employment Controls Could Be Further Strengthened
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 2011 with total page 33 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Federal Securities Law Reporter by :
Download or read book Federal Securities Law Reporter written by and published by . This book was released on 1941 with total page 3076 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis United States Statutes at Large by :
Download or read book United States Statutes at Large written by and published by Government Printing Office. This book was released on with total page 1190 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Annual Report by : Board of Governors of the Federal Reserve System (U.S.)
Download or read book Annual Report written by Board of Governors of the Federal Reserve System (U.S.) and published by . This book was released on 2011 with total page 484 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Public Statutes at Large of the United States of America by : United States
Download or read book Public Statutes at Large of the United States of America written by United States and published by . This book was released on 2012 with total page 1190 pages. Available in PDF, EPUB and Kindle. Book excerpt: Vols. for 1950-19 contained treaties and international agreements issued by the Secretary of State as United States treaties and other international agreements.
Download or read book Federal Register written by and published by . This book was released on 2013-12 with total page 676 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Journal of the House of Representatives of the United States by : United States. Congress. House
Download or read book Journal of the House of Representatives of the United States written by United States. Congress. House and published by . This book was released on 2004 with total page 1778 pages. Available in PDF, EPUB and Kindle. Book excerpt: Some vols. include supplemental journals of "such proceedings of the sessions, as, during the time they were depending, were ordered to be kept secret, and respecting which the injunction of secrecy was afterwards taken off by the order of the House".
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 2004 with total page 1048 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis United States Statutes at Large by : United States
Download or read book United States Statutes at Large written by United States and published by . This book was released on 2010 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Dodd-Frank Wall Street Reform and Consumer Protection Act by : United States. Congress
Download or read book Dodd-Frank Wall Street Reform and Consumer Protection Act written by United States. Congress and published by . This book was released on 2010 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:
