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Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781976511271
Category :
Languages : en
Pages : 48
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Book Description
Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.
Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781976511271
Category :
Languages : en
Pages : 48
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Book Description
Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.
Author: U.s. Government Accountability Office
Publisher:
ISBN: 9781974241439
Category :
Languages : en
Pages : 40
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Book Description
"Why GAO Did This StudySEC oversees FINRA, which is charged with regulatory oversight of all securities broker-dealers conducting business with the public in the United States. In light of recent events in the financial markets, SEC and FINRA have faced questions about their oversight roles. The Dodd-Frank Wall Street Reform and Consumer Protection Act required GAO to study SEC's oversight of national securities associations registered under section 15A of the Securities Exchange Act of 1934, a provision which applies only to FINRA. This report examines (1) how SEC has conducted oversight of FINRA, including FINRA rule proposals and the effectiveness of its rules, and (2) how SEC plans to enhance its oversight of FINRA. To address these objectives, GAO reviewed SEC documentation, policies and procedures for inspections of FINRA and reviews of FINRA rule proposals; reviewed documentation on SEC's plans for enhanced FINRA oversight; and interviewed SEC and FINRA officials.What GAO RecommendsSEC should encourage FINRA to conduct retrospective reviews of its rules and establish a process for examining FINRA's reviews, and SEC should follow all elements of a risk-management framework in developing its future oversight plans. SEC generally agreed with GAO's"
Author: United States. Government Accountability Office
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 34
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Book Description
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983741609
Category :
Languages : en
Pages : 40
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Book Description
SECURITIES REGULATION: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority
Author: A. Nicole Clowers
Publisher:
ISBN: 9781457868412
Category :
Languages : en
Pages : 44
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Book Description
The securities industry is generally regulated by a combination of federal and industry regulation and oversight. The Financial Industry Regulatory Authority (FINRA), a self-regulatory organization, is responsible for regulating securities firms doing business with the public in the U.S. The Securities and Exchange Commission (SEC) oversees FINRA's operations and programs. This report (1) assesses SEC's implementation of a risk-based framework for overseeing FINRA; (2) reviews SEC oversight activities of FINRA operations; and (3) assesses recent inspections of areas listed in Section 964 of the Dodd-Frank Act, which mandates a triennial review on aspects of SEC's oversight of FINRA. Figures. This is a print on demand report.
Author: United States. Congressional Oversight Panel
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 120
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Book Description
Author: Hester Peirce
Publisher:
ISBN: 9781942951308
Category :
Languages : en
Pages :
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Book Description
Author: H. David Kotz
Publisher: John Wiley & Sons
ISBN: 1118972228
Category : Business & Economics
Languages : en
Pages : 256
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Book Description
Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
Author: The Law The Law Library
Publisher: Createspace Independent Publishing Platform
ISBN: 9781729674390
Category :
Languages : en
Pages : 114
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Book Description
Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition) The Law Library presents the complete text of the Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition). Updated as of May 29, 2018 OGE regulations have provided guidance concerning the post-employment conflict of interest restrictions of 18 U.S.C. 207 for Government employees terminating service between July 1, 1979 and December 31, 1990. As a result of amendments to section 207 that became effective January 1, 1991, and subsequently, employees terminating service in the executive branch or in an independent agency (or terminating service from certain high-level Government positions) since that date are subject to substantially revised post-employment restrictions. The purpose of these new regulations is to provide regulatory guidance explaining the scope and content of the statutory restrictions as they apply to employees terminating service on or after January 1, 1991. This final rule would expand the regulatory guidance OGE has previously published concerning the current version of section 207 and make minor modifications to those earlier rulemakings. It would also remove the old obsolete regulations from the Code of Federal Regulations. This book contains: - The complete text of the Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition) - A table of contents with the page number of each section
Author: D. Chorafas
Publisher: Springer
ISBN: 0333977432
Category : Business & Economics
Languages : en
Pages : 298
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Book Description
Written by a leading financial analyst, this new book provides a detailed overview of the new regulatory environment facing the financial industry. Whilst the 1980s and early 1990s focused on deregulation within the financial sector, today a key point of interest has become re-regulation - and in a global setting.
