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Sec And Cftc Fines Follow Up
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Book Synopsis SEC and CFTC fines followup collection programs are improving, but further steps are warranted. by :
Download or read book SEC and CFTC fines followup collection programs are improving, but further steps are warranted. written by and published by DIANE Publishing. This book was released on with total page 51 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Futures Trading Act of 1982 written by and published by . This book was released on 1983 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis SEC and CFTC Penalties by : Richard J. Hillman
Download or read book SEC and CFTC Penalties written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2006-03 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt: The 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.
Book Synopsis SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. by :
Download or read book SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. written by and published by DIANE Publishing. This book was released on 2005 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :248 pages Book Rating :4.3/5 (91 download)
Book Synopsis Reviewing U.S. capital market structure by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Download or read book Reviewing U.S. capital market structure written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2003 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book CFTC Report written by and published by . This book was released on 1987 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Regulation & Law Report by :
Download or read book Securities Regulation & Law Report written by and published by . This book was released on 2003 with total page 1148 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Monthly Catalog of United States Government Publications by :
Download or read book Monthly Catalog of United States Government Publications written by and published by . This book was released on 2004 with total page 1000 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :The Law The Law Library Publisher :Createspace Independent Publishing Platform ISBN 13 :9781721510160 Total Pages :192 pages Book Rating :4.5/5 (11 download)
Book Synopsis Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) by : The Law The Law Library
Download or read book Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-16 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt: Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 On July 12, 2012, the Commodity Futures Trading Commission ("Commission" or "CFTC") published for public comment its proposed interpretive guidance and policy statement ("Proposed Guidance") regarding the cross-border application of the swaps provisions of the Commodity Exchange Act ("CEA"), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "Dodd-Frank"). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance ("Further Proposed Guidance"). This book contains: - The complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Book Synopsis The Financial Crisis Inquiry Report by : Financial Crisis Inquiry Commission
Download or read book The Financial Crisis Inquiry Report written by Financial Crisis Inquiry Commission and published by Cosimo, Inc.. This book was released on 2011-05-01 with total page 692 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Financial Crisis Inquiry Report, published by the U.S. Government and the Financial Crisis Inquiry Commission in early 2011, is the official government report on the United States financial collapse and the review of major financial institutions that bankrupted and failed, or would have without help from the government. The commission and the report were implemented after Congress passed an act in 2009 to review and prevent fraudulent activity. The report details, among other things, the periods before, during, and after the crisis, what led up to it, and analyses of subprime mortgage lending, credit expansion and banking policies, the collapse of companies like Fannie Mae and Freddie Mac, and the federal bailouts of Lehman and AIG. It also discusses the aftermath of the fallout and our current state. This report should be of interest to anyone concerned about the financial situation in the U.S. and around the world.THE FINANCIAL CRISIS INQUIRY COMMISSION is an independent, bi-partisan, government-appointed panel of 10 people that was created to "examine the causes, domestic and global, of the current financial and economic crisis in the United States." It was established as part of the Fraud Enforcement and Recovery Act of 2009. The commission consisted of private citizens with expertise in economics and finance, banking, housing, market regulation, and consumer protection. They examined and reported on "the collapse of major financial institutions that failed or would have failed if not for exceptional assistance from the government."News Dissector DANNY SCHECHTER is a journalist, blogger and filmmaker. He has been reporting on economic crises since the 1980's when he was with ABC News. His film In Debt We Trust warned of the economic meltdown in 2006. He has since written three books on the subject including Plunder: Investigating Our Economic Calamity (Cosimo Books, 2008), and The Crime Of Our Time: Why Wall Street Is Not Too Big to Jail (Disinfo Books, 2011), a companion to his latest film Plunder The Crime Of Our Time. He can be reached online at www.newsdissector.com.
Author :United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance Publisher : ISBN 13 : Total Pages :840 pages Book Rating :4.0/5 (18 download)
Book Synopsis SEC/CFTC Jurisdictional Issues and Oversight by : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Download or read book SEC/CFTC Jurisdictional Issues and Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1982 with total page 840 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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.
Book Synopsis Risk-Based Capital by : Lawrence D. Cluff
Download or read book Risk-Based Capital written by Lawrence D. Cluff and published by DIANE Publishing. This book was released on 2000 with total page 187 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations by :
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:
Book Synopsis U.S. Regulation of the International Securities and Derivatives Markets by :
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Handbook of White-Collar Crime by : Melissa L. Rorie
Download or read book The Handbook of White-Collar Crime written by Melissa L. Rorie and published by John Wiley & Sons. This book was released on 2019-09-13 with total page 546 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive and state-of the-art overview from internationally-recognized experts on white-collar crime covering a broad range of topics from many perspectives Law enforcement professionals and criminal justice scholars have debated the most appropriate definition of “white-collar crime” ever since Edwin Sutherland first coined the phrase in his speech to the American Sociological Society in 1939. The conceptual ambiguity surrounding the term has challenged efforts to construct a body of science that meaningfully informs policy and theory. The Handbook of White-Collar Crime is a unique re-framing of traditional discussions that discusses common topics of white-collar crime—who the offenders are, who the victims are, how these crimes are punished, theoretical explanations—while exploring how the choice of one definition over another affects research and scholarship on the subject. Providing a one-volume overview of research on white-collar crime, this book presents diverse perspectives from an international team of both established and newer scholars that review theory, policy, and empirical work on a broad range of topics. Chapters explore the extent and cost of white-collar crimes, individual- as well as organizational- and macro-level theories of crime, law enforcement roles in prevention and intervention, crimes in Africa and South America, the influence of technology and globalization, and more. This important resource: Explores diverse implications for future theory, policy, and research on current and emerging issues in the field Clarifies distinct characteristics of specific types of offences within the general archetype of white-collar crime Includes chapters written by researchers from countries commonly underrepresented in the field Examines the real-world impact of ambiguous definitions of white-collar crime on prevention, investigation, and punishment Offers critical examination of how definitional decisions steer the direction of criminological scholarship Accessible to readers at the undergraduate level, yet equally relevant for experienced practitioners, academics, and researchers, The Handbook of White-Collar Crime is an innovative, substantial contribution to contemporary scholarship in the field.
Book Synopsis Whistleblower's Handbook by : Stephen M. Kohn
Download or read book Whistleblower's Handbook written by Stephen M. Kohn and published by Rowman & Littlefield. This book was released on 2011-03-01 with total page 355 pages. Available in PDF, EPUB and Kindle. Book excerpt: UPDATED IN MARCH 2013 to include the historic $104-million Bradley Birkenfeld whistleblower case and more! From the nation’s leading whistleblower attorney, comes the third edition of the first-ever consumer guide to whistleblowing. In The Whistleblower’s Handbook, Stephen Martin Kohn explains nearly all federal and state laws regarding whistleblowing. In the step-by-step bulk of the book, he also presents twenty-one rules for whistleblowers.
