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Author:
Publisher: DIANE Publishing
ISBN: 9781422397800
Category :
Languages : en
Pages : 52
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Book Description
Author:
Publisher: DIANE Publishing
ISBN: 9781422397800
Category :
Languages : en
Pages : 52
Get Book Here
Book Description
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983914096
Category :
Languages : en
Pages : 54
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Book Description
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
Author: United States. Government Accountability Office
Publisher:
ISBN:
Category :
Languages : en
Pages : 48
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Book Description
Author: Mary L. Schapiro
Publisher: DIANE Publishing
ISBN: 1437917666
Category : Law
Languages : en
Pages : 64
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Book Description
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.
Author: United States. Securities and Exchange Commission. Division of Enforcement
Publisher:
ISBN:
Category : Corporation law
Languages : en
Pages : 144
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Book Description
Author: Robert Khuzami
Publisher: DIANE Publishing
ISBN: 143793367X
Category : Business & Economics
Languages : en
Pages : 20
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Book Description
Contents: (1) The extent to which the resource shortages and enforcement policies of the SEC in recent years have hampered aggressive enforcement of securities laws; (2) What changes are needed to ensure that the SEC does not once again fall behind on its enforcement responsibilities; and (3) What changes Congress should consider to ensure adequate resources and authority for the SEC to fulfill its vital enforcement role. Khuzami outlines SEC¿s plan for addressing the challenges that we face. He also discusses some of the changes that SEC Chairman Mary Schapiro has instituted that have already helped SEC¿s program. Additional resources would enhance SEC¿s ability to keep pace with ever-changing developments in a dynamic marketplace.
Author: A. Nicole Clowers
Publisher: DIANE Publishing
ISBN: 1437932568
Category : Business & Economics
Languages : en
Pages : 34
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Book Description
SEC may order civil monetary penalties and seek ill-gotten financial gains, or disgorgement, from individuals who violate fed. securities laws and regulations. In 2002, Congress passed the Sarbanes-Oxley Act, which established numerous reforms to increase investor protection, including Sect. 308(a), the Fed. Account for Investor Restitution provision. This provision allows SEC to combine civil monetary penalties and other donations to disgorgement funds for the benefit of investors who suffer losses resulting from fraud or other securities violations. This report examines: (1) the status of Fair Fund collections and distributions; and (2) the actions that SEC has taken to address previous recommend. Illus. This is a print on demand report.
Author: John J. Huber
Publisher: American Bar Association
ISBN:
Category : Corporate governance
Languages : en
Pages : 446
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Book Description
Author: Cary Coglianese
Publisher: University of Pennsylvania Press
ISBN: 0812207491
Category : Political Science
Languages : en
Pages : 290
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Book Description
Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation brings fresh insight and analytic rigor to what has become one of the most contested domains of American domestic politics. Critics from the left blame lax regulation for the housing meltdown and financial crisis—not to mention major public health disasters ranging from the Gulf Coast oil spill to the Upper Big Branch Mine explosion. At the same time, critics on the right disparage an excessively strict and costly regulatory system for hampering economic recovery. With such polarized accounts of regulation and its performance, the nation needs now more than ever the kind of dispassionate, rigorous scholarship found in this book. With chapters written by some of the nation's foremost economists, political scientists, and legal scholars, Regulatory Breakdown brings clarity to the heated debate over regulation by dissecting the disparate causes of the current crisis as well as analyzing promising solutions to what ails the U.S. regulatory system. This volume shows policymakers, researchers, and the public why they need to question conventional wisdom about regulation—whether from the left or the right—and demonstrates the value of undertaking systematic analysis before adopting policy reforms in the wake of disaster.
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Securities fraud
Languages : en
Pages : 32
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Book Description
