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Ggd-99-8 Money Penalties

Ggd-99-8 Money Penalties
Author: United States Accounting Office (GAO)
Publisher: Createspace Independent Publishing Platform
Total Pages: 44
Release: 2018-02-16
Genre:
ISBN: 9781984331274

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GGD-99-8 Money Penalties: Securities and Futures Regulators Collect Many Fines But Need to Better Use Industrywide Data


Harvard Law Review: Volume 127, Number 3 - January 2014

Harvard Law Review: Volume 127, Number 3 - January 2014
Author: Harvard Law Review
Publisher: Quid Pro Books
Total Pages: 304
Release: 2014-01-15
Genre: Law
ISBN: 1610272226

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The January 2014 issue (Volume 127, Number 3) includes the following articles and student contributions: * Article, "For-Profit Public Enforcement," by Margaret H. Lemos and Max Minzner * Book Review, "Technological Determinism and Its Discontents," by Christopher S. Yoo * Note, "More than a Formality: The Case for Meaningful Substantive Reasonableness Review" * Note, "Appointing State Attorneys General: Evaluating the Unbundled State Executive" * Note, "The Devil Wears Trademark: How the Fashion Industry Has Expanded Trademark Doctrine to Its Detriment" In addition, student case notes explore recent cases on misleading law school employment data, the First Amendment religious rights of for-profit corporations, regulation of nuclear energy, forensic search of laptops at the border, search of cellphone date incident to arrest, obscene or lewd student speech, and access to polling places for news-gathering purposes. Finally, the issue includes several summaries of Recent Publications. The issue is offered in a quality digital edition, featuring active Contents, linked notes, active URLs in notes, and proper ebook formatting. The contents of Number 3 include scholarly essays by leading academic figures, as well as substantial student research. The Review is a student-run organization whose primary purpose is to publish a journal of legal scholarship. The organization is formally independent of the Harvard Law School; student editors make all editorial and organizational decisions.


SEC and CFTC Penalties

SEC and CFTC Penalties
Author: Richard J. Hillman
Publisher: DIANE Publishing
Total Pages: 50
Release: 2006-03
Genre:
ISBN: 9781422304402

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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.


Month in Review ...

Month in Review ...
Author:
Publisher:
Total Pages: 34
Release: 1998-11
Genre: Finance, Public
ISBN:

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