Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
Download Statistics On Secs Enforcement Program full books in PDF, epub, and Kindle. Read online Statistics On Secs Enforcement Program ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 60 pages
Book Rating : 4.:/5 (31 download)
Download or read book Statistics on SEC's Enforcement Program written by United States. General Accounting Office and published by . This book was released on 1985 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States Accounting Office (GAO)
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781719381581
Total Pages : 58 pages
Book Rating : 4.3/5 (815 download)
Download or read book Statistics on Sec's Enforcement Program written by United States Accounting Office (GAO) and published by Createspace Independent Publishing Platform. This book was released on 2018-05-21 with total page 58 pages. Available in PDF, EPUB and Kindle. Book excerpt: Statistics on SEC's Enforcement Program
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 53 pages
Book Rating : 4.:/5 (76 download)
Download or read book Statistics on SEC's Enforcement Program written by United States. General Accounting Office and published by . This book was released on 1985 with total page 53 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Urska Velikonja
Publisher :
ISBN 13 :
Total Pages : 80 pages
Book Rating : 4.:/5 (13 download)
Download or read book Reporting Agency Performance written by Urska Velikonja and published by . This book was released on 2016 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt: Every October, after the end of its fiscal year, the Securities and Exchange Commission releases its annual enforcement report, detailing its activity for the year. The report boasts record enforcement activity, often showing significant increases over the prior fiscal year in the number of enforcement actions brought and monetary penalties ordered. The numbers suggest that the SEC is ever tougher on securities violators. The SEC includes these statistics in its budget requests; the figures are repeated in congressional testimony, scholarship, policy proposals, and the business press.Yet the SEC's metrics are deeply flawed. The Article, a pilot study, reviews fifteen years of enforcement actions and demonstrates that the widely-circulated statistics are invalid because they do not measure what they purport to measure, and unreliable because they are inconsistent and can be manipulated all too easily. The SEC double and triple counts many of the enforcement actions it brings and overstates the fines it orders. Once these measures are adjusted, they reveal that enforcement remained steady between 2002 and 2014, and obscure a shift in enforcement towards easier-to-prosecute strict-liability violations. The SEC is not alone in using statistics that have a propensity to mislead to report its output. Multiple reporting statutes authorize Congress to cut agencies' budgets for failing to meet performance targets. In response, agencies report flawed statistics to protect their ability to continue enforcing the law. The Article suggests that Congress should not threaten to reduce an agency's budget because of year-to-year fluctuations in enforcement. In addition, to make reported numbers more reliable, non-financial performance measures should not be developed by the agency. Instead, the selection and development of performance indicators should be outsourced and possibly standardized across agencies, much like financial reporting has already been standardized. Doing so would depoliticize reporting, as well as facilitate comparisons among agencies, both domestically and internationally.
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 44 pages
Book Rating : 4.:/5 (31 download)
Download or read book Securities Regulation written by United States. General Accounting Office and published by . This book was released on 1986 with total page 44 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 40 pages
Book Rating : 4.:/5 (935 download)
Download or read book Report on the Current Enforcement Program of the Securities and Exchange Commission written by and published by . This book was released on 2006 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: Viewpoints on the effects of the SEC's enforcement program on corporate America.
Author :
Publisher :
ISBN 13 :
Total Pages : 37 pages
Book Rating : 4.:/5 (17 download)
Download or read book Securities Regulation written by and published by . This book was released on 1986 with total page 37 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew N. Vollmer
Publisher :
ISBN 13 :
Total Pages : 18 pages
Book Rating : 4.:/5 (13 download)
Download or read book Four Ways To Improve SEC Enforcement written by Andrew N. Vollmer and published by . This book was released on 2016 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: The enforcement program at the Securities and Exchange Commission has been the subject of severe criticism in recent years. The occasional reforms that have been adopted have not begun to root out the deeper, structural defects with the investigation and charging process at the SEC. Reforms going to the essence of the process and the way the Division of Enforcement operates are needed. The three fundamental problems with SEC enforcement are that the Commission and the Division of Enforcement (1) advance legal theories that are outside settled boundaries, (2) misunderstand or mischaracterize the factual record, and (3) fail to accord fair and impartial treatment to persons being investigated. The result is an unacceptably high number of cases that lack merit, meaning either that the extensive evidence collected by the SEC does not support the alleged violation or that the case relies on a legal theory that is not likely to be accepted by a court. The SEC can do better and be more effective. It can extend more fairness and consideration to those being investigated without any damage to tough enforcement. The paper describes four ways to improve SEC enforcement: • use established and accepted legal theories and do not base claims on new, untested liability theories, • create an objective and balanced investigative record that considers both potential wrongdoing and innocent explanations,• apply rigorous, neutral standards before opening investigations and initiating cases. A formal investigation should be based on credible evidence justifying a reasonable suspicion of a possible violation and on an evaluation of enforcement priorities. The Commissioners should not authorize a proceeding unless they believe a reasonable person would conclude that the SEC is more likely than not to prevail on the facts and the law and believe that a proceeding would serve broad and legitimate enforcement goals, and • substantially shorten investigations. Each member of the staff should make an effort to limit the number of documents requested and the number of individuals called for testimony. A fifth possible reform, discussed in an earlier article, is that the SEC should significantly narrow investigative subpoenas.
Author : Urska Velikonja
Publisher :
ISBN 13 :
Total Pages : 13 pages
Book Rating : 4.:/5 (13 download)
Download or read book Behind the Annual SEC Enforcement Report written by Urska Velikonja and published by . This book was released on 2017 with total page 13 pages. Available in PDF, EPUB and Kindle. Book excerpt: The SEC's enforcement report for fiscal year 2017 reports moderate declines in the number of filed enforcement actions, 754 compared with 868 in fiscal year 2016, and in the total monetary penalties ordered, $3.8 billion compared with $4.1 billion in fiscal 2016. The narrative accompanying the release suggests that despite the change in SEC leadership, nothing has really changed in enforcement.This review looks behind reported numbers. By comparing enforcement with prior years, and during the first and second half of the fiscal year 2017, the review reports on changes that have taken place, in particular in enforcement against Wall Street firms and public companies. In addition to offering data on settlements and fines, the review also offers statistics on where the SEC chooses to file cases - in court or in administrative proceedings - and recent data on admissions in enforcement actions.
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)
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.
Author : United States. Government Accountability Office
Publisher :
ISBN 13 : 9781606920459
Total Pages : 0 pages
Book Rating : 4.9/5 (24 download)
Download or read book Securities and Exchange Commission written by United States. Government Accountability Office and published by . This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role in meeting the agency's responsibility to enforce securities laws and regulations. While Enforcement has brought a number of high-profile cases, questions have been raised over how effectively the division manages its operations and resources. This book: (1) discusses the structure of SEC's inspection program for SROs, (2) evaluates certain aspects of SEC's inspection program, and (3) describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. (4) investigation planning and information systems, (5) oversight of the Fair Fund program. Among other things, GAO analyzed SEC and Enforcement documents and data and interviewed agency officials as well as consultants involved in administering the Fair Fund program. (6) described OCIE's revisions after 2003 to the examination approach for investment companies and investment advisers; (7) discussed OCIE's compliance with its examination exit procedures; and (8) described reforms OCIE implemented since January 2006 to enhance, among other things, communication with registrants.
Author : United States. General Accounting Office
Publisher :
ISBN 13 :
Total Pages : 24 pages
Book Rating : 4.:/5 (151 download)
Download or read book SEC Enforcement Program written by United States. General Accounting Office and published by . This book was released on 1986 with total page 24 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 504 pages
Book Rating : 4.:/5 (1 download)
Download or read book SEC News Digest written by United States. Securities and Exchange Commission and published by . This book was released on 1971-07 with total page 504 pages. Available in PDF, EPUB and Kindle. Book excerpt: Lists documents available from Public Reference Section, Securities and Exchange Commission.
Author :
Publisher : DIANE Publishing
ISBN 13 : 9781422397800
Total Pages : 52 pages
Book Rating : 4.3/5 (978 download)
Download or read book Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations written by and published by DIANE Publishing. This book was released on 2007 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book 1st Review of the Suspicious Activity Reporting System (SARS). written by and published by . This book was released on 1998 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : John C. Coffee
Publisher : Berrett-Koehler Publishers
ISBN 13 : 1523088877
Total Pages : 214 pages
Book Rating : 4.5/5 (23 download)
Download or read book Corporate Crime and Punishment written by John C. Coffee and published by Berrett-Koehler Publishers. This book was released on 2020-08-04 with total page 214 pages. Available in PDF, EPUB and Kindle. Book excerpt: A study and analysis of lack of enforcement against criminal actions in corporate America and what can be done to fix it. In the early 2000s, federal enforcement efforts sent white collar criminals at Enron and WorldCom to prison. But since the 2008 financial collapse, this famously hasn’t happened. Corporations have been permitted to enter into deferred prosecution agreements and avoid criminal convictions, in part due to a mistaken assumption that leniency would encourage cooperation and because enforcement agencies don’t have the funding or staff to pursue lengthy prosecutions, says distinguished Columbia Law Professor John C. Coffee. “We are moving from a system of justice for organizational crime that mixed carrots and sticks to one that is all carrots and no sticks,” he says. He offers a series of bold proposals for ensuring that corporate malfeasance can once again be punished. For example, he describes incentives that could be offered to both corporate executives to turn in their corporations and to corporations to turn in their executives, allowing prosecutors to play them off against each other. Whistleblowers should be offered cash bounties to come forward because, Coffee writes, “it is easier and cheaper to buy information than seek to discover it in adversarial proceedings.” All federal enforcement agencies should be able to hire outside counsel on a contingency fee basis, which would cost the public nothing and provide access to discovery and litigation expertise the agencies don't have. Through these and other equally controversial ideas, Coffee intends to rebalance the scales of justice. “Professor Coffee’s compelling new approach to holding fraudsters to account is indispensable reading for any lawmaker serious about deterring corporate crime.” —Robert Jackson, professor of Law, New York University, and former commissioner, Securities and Exchange Commission “A great book that more than any other recent volume deftly explains why effective prosecution of corporate senior executives largely collapsed in the post-2007–2009 stock market crash period and why this creates a crisis of underenforcement. No one is Professor Coffee’s equal in tying together causes for the crisis.” —Joel Seligman, author, historian, former law school dean, and president emeritus, University of Rochester
Author : Texas
Publisher :
ISBN 13 :
Total Pages : 848 pages
Book Rating : 4.F/5 ( download)
Download or read book Parks and Wildlife Code written by Texas and published by . This book was released on 1976 with total page 848 pages. Available in PDF, EPUB and Kindle. Book excerpt:
