SEC and CFTC Fines Follow-up

SEC and CFTC Fines Follow-up PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 45

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Sec and Cftc Fines Follow-up

Sec and Cftc Fines Follow-up PDF Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781978464858
Category :
Languages : en
Pages : 52

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SEC and CFTC Fines Follow-Up: Collection Programs Are Improving, but Further Steps Are Warranted

SEC and CFTC fines followup collection programs are improving, but further steps are warranted.

SEC and CFTC fines followup collection programs are improving, but further steps are warranted. PDF Author:
Publisher: DIANE Publishing
ISBN: 1428943137
Category :
Languages : en
Pages : 51

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SEC and CFTC Fines Follow-up

SEC and CFTC Fines Follow-up PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages :

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SEC and CFTC Penalties

SEC and CFTC Penalties PDF Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9781422304402
Category :
Languages : en
Pages : 50

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Book Description
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.

SEC and CFTC

SEC and CFTC PDF Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Fines (Penalties)
Languages : en
Pages : 46

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Futures Trading Act of 1982

Futures Trading Act of 1982 PDF Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 188

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SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. PDF Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52

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The Financial Crisis Inquiry Report

The Financial Crisis Inquiry Report PDF Author: Financial Crisis Inquiry Commission
Publisher: Cosimo, Inc.
ISBN: 1616405414
Category : Political Science
Languages : en
Pages : 692

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Book Description
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.

Complying with the telemarketing sales rule

Complying with the telemarketing sales rule PDF Author:
Publisher:
ISBN:
Category : Electronic government information
Languages : en
Pages : 62

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