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| Author | : United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry |
| Publisher | : |
| Total Pages | : 188 |
| Release | : 1982 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : United States. Commodity Futures Trading Commission |
| Publisher | : |
| Total Pages | : 94 |
| Release | : 2009 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : |
| Publisher | : DIANE Publishing |
| Total Pages | : 52 |
| Release | : |
| Genre | : |
| ISBN | : 1428970398 |
| Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
| Publisher | : |
| Total Pages | : 678 |
| Release | : 1982 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
| Publisher | : |
| Total Pages | : 840 |
| Release | : 1982 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : Richard J. Hillman |
| Publisher | : DIANE Publishing |
| Total Pages | : 50 |
| Release | : 2006-03 |
| Genre | : |
| ISBN | : 9781422304402 |
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.
| Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
| Publisher | : |
| Total Pages | : 692 |
| Release | : 1982 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance |
| Publisher | : |
| Total Pages | : 336 |
| Release | : 1990 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 892 |
| Release | : 1994 |
| Genre | : Securities |
| ISBN | : |
| Author | : Orice Williams Brown |
| Publisher | : DIANE Publishing |
| Total Pages | : 58 |
| Release | : 2010-08 |
| Genre | : Law |
| ISBN | : 1437932541 |
The auditor was directed to assess the joint report of the SEC and the Commodity Futures Trading Commission (CFTC) on harmonization of their regulatory approaches. In Oct. 2009, CFTC and SEC issued this report in response to the Dept. of the Treasury¿s recommendation that the two agencies assess conflicts in their rules and statutes with respect to similar financial instruments. This reports objectives were to review: (1) how CFTC and SEC identified and assessed harmonization opportunities; (2) the agencies¿ progress toward implementing the joint report¿s recommendations; and (3) additional steps the agencies could take to reduce inconsistencies and overlap in their oversight. Charts and tables.
