A Study Of Cftc And Futures Self Regulatory Organization Penalties PDF Download
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Author | : |
Publisher | : |
Total Pages | : 160 |
Release | : 1994 |
Genre | : Commodity exchanges |
ISBN | : |
Download A Study of CFTC and Futures Self-regulatory Organization Penalties Book in PDF, ePub and Kindle
Author | : United States. Commodity Futures Trading Commission |
Publisher | : |
Total Pages | : 16 |
Release | : 1995 |
Genre | : Commodity exchanges |
ISBN | : |
Download CFTC Policy Statement Relating to the Commission's Authority to Impose Civil Money Penalties and Futures Self-regulatory Organizations' Authority to Impose Sanctions Book in PDF, ePub and Kindle
Author | : Derek Fischer |
Publisher | : |
Total Pages | : 0 |
Release | : 2015 |
Genre | : |
ISBN | : |
Download Dodd-Frank's Failure to Address CFTC Oversight of Self-Regulatory Organization Rulemaking Book in PDF, ePub and Kindle
Since its formation, the Commodity Futures Trading Commission (CFTC) has taken a hands-off approach with respect to its oversight of the futures industry. It has relied on self-regulatory organizations (SROs) -- namely, exchanges such as the Chicago Mercantile Exchange and associations such as the National Futures Association (NFA). The Dodd-Frank Act (Dodd-Frank), Congress's attempt to address unregulated derivatives and swaps trading, perceived as key contributors to the 2007-2008 financial crisis, created an expanded regulatory role for the CFTC while simultaneously increasing its reliance on old and new SROs. Yet Congress failed to grasp the expansion in resources the CFTC would require both to perform its new duties and to continue its traditional oversight of industry self-regulation. In particular, the CFTC lacks the statutory mandate and the resources to counter the risks associated with industry self-regulation in theory and in practice. This Note compares the divergent schemes of the Commodity Exchange Act and the Securities Exchange Act to show that the statutory impetus to review SRO rulemaking is much stronger with the SEC than with the CFTC. It then empirically assesses CFTC oversight of rulemaking by the National Futures Association to show that from 2003 to 2012 ninety-four percent of rule additions or amendments proposed by the NFA -- which must be sent to the CFTC before taking effect--were adopted unmodified. This Note argues that the CFTC likely is not adequately scrutinizing rule proposals by the NFA -- or, if it is doing so, it is doing so out of the pub- lic eye. It concludes that the CFTC should conduct a self-assessment and begin disclosing conversations with the SROs it oversees in order to determine how it can better monitor self-regulatory organizations.
Author | : The Law The Law Library |
Publisher | : Createspace Independent Publishing Platform |
Total Pages | : 28 |
Release | : 2018-06-10 |
Genre | : |
ISBN | : 9781721038626 |
Download Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) Book in PDF, ePub and Kindle
Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commission hereby adopts its final definition of "public director" for the acceptable practices to Section 5(d)(15) ("Core Principle 15") of the Commodity Exchange Act ("CEA" or "Act"). (1) In addition, the Commission is lifting the stay it had previously placed on these acceptable practices. All designated contract markets ("DCMs") must demonstrate full compliance with Core Principle 15, via the acceptable practices or otherwise, within one year of this document's publication in the Federal Register. The acceptable practices and their procedural history are summarized below, as is the final definition of public director. This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Author | : United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry |
Publisher | : |
Total Pages | : 188 |
Release | : 1982 |
Genre | : Commodity exchanges |
ISBN | : |
Download Futures Trading Act of 1982 Book in PDF, ePub and Kindle
Author | : |
Publisher | : DIANE Publishing |
Total Pages | : 44 |
Release | : |
Genre | : |
ISBN | : 1428975101 |
Download Money penalties securities and futures regulators collect many fines but need to better use industrywide data : report to congressional committees Book in PDF, ePub and Kindle
Author | : |
Publisher | : |
Total Pages | : 116 |
Release | : 1998 |
Genre | : Crime prevention |
ISBN | : |
Download International Crime Control Strategy Book in PDF, ePub and Kindle
Author | : United States. Congress. House. Committee on Agriculture. Subcommittee on Risk Management and Specialty Crops |
Publisher | : |
Total Pages | : 176 |
Release | : 1995 |
Genre | : Political Science |
ISBN | : |
Download Reauthorization of the Commodity Futures Trading Commission Book in PDF, ePub and Kindle
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 128 |
Release | : 1986 |
Genre | : Capital market |
ISBN | : |
Download Securities and Futures Book in PDF, ePub and Kindle
Author | : United States. Congress. House. Committee on Agriculture |
Publisher | : |
Total Pages | : 328 |
Release | : 1994 |
Genre | : |
ISBN | : |
Download Legislative Calendar Book in PDF, ePub and Kindle