Sec And Cftc Penalties
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| Author | : Richard J. Hillman |
| Publisher | : DIANE Publishing |
| Total Pages | : 50 |
| Release | : 2006-03 |
| Genre | : Business & Economics |
| 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 | : |
| Publisher | : DIANE Publishing |
| Total Pages | : 44 |
| Release | : |
| Genre | : |
| ISBN | : 1428975101 |
| Author | : |
| Publisher | : DIANE Publishing |
| Total Pages | : 52 |
| Release | : 2005 |
| Genre | : |
| ISBN | : 142893409X |
| Author | : |
| Publisher | : DIANE Publishing |
| Total Pages | : 51 |
| Release | : |
| Genre | : |
| ISBN | : 1428943137 |
| Author | : Stephen M. Kohn |
| Publisher | : Rowman & Littlefield |
| Total Pages | : 355 |
| Release | : 2011-03-01 |
| Genre | : Law |
| ISBN | : 0762774797 |
UPDATED IN MARCH 2013 to include the historic $104-million Bradley Birkenfeld whistleblower case and more! From the nation’s leading whistleblower attorney, comes the third edition of the first-ever consumer guide to whistleblowing. In The Whistleblower’s Handbook, Stephen Martin Kohn explains nearly all federal and state laws regarding whistleblowing. In the step-by-step bulk of the book, he also presents twenty-one rules for whistleblowers.
| Author | : |
| Publisher | : |
| Total Pages | : 160 |
| Release | : 1994 |
| Genre | : Commodity exchanges |
| ISBN | : |
| Author | : United States. General Accounting Office |
| Publisher | : |
| Total Pages | : 46 |
| Release | : 2001 |
| Genre | : Fines (Penalties) |
| ISBN | : |
| Author | : |
| Publisher | : |
| Total Pages | : 16 |
| Release | : 1992 |
| Genre | : |
| ISBN | : |
| Author | : |
| Publisher | : DIANE Publishing |
| Total Pages | : 42 |
| Release | : |
| Genre | : |
| ISBN | : 1428949399 |
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
