Download or read book A Study of CFTC and Futures Self regulatory Organization Penalties written by and published by . This book was released on 1994 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book CFTC Policy Statement Relating to the Commission s Authority to Impose Civil Money Penalties and Futures Self regulatory Organizations Authority to Impose Sanctions written by United States. Commodity Futures Trading Commission and published by . This book was released on 1995 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Dodd Frank s Failure to Address CFTC Oversight of Self Regulatory Organization Rulemaking written by Derek Fischer and published by . This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Download or read book Futures Trading Act of 1982 written by and published by . This book was released on 1983 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Conflicts of Interest in Self Regulation and Self Regulatory Organizations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 28 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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
Download or read book Money penalties securities and futures regulators collect many fines but need to better use industrywide data report to congressional committees written by and published by DIANE Publishing. This book was released on with total page 44 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Reauthorization of the Commodity Futures Trading Commission written by United States. Congress. House. Committee on Agriculture. Subcommittee on Risk Management and Specialty Crops and published by . This book was released on 1995 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Legislative Calendar written by United States. Congress. House. Committee on Agriculture and published by . This book was released on 1994 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities and Futures written by United States. General Accounting Office and published by . This book was released on 1986 with total page 128 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book International Crime Control Strategy written by and published by . This book was released on 1998 with total page 116 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book S 178 Reauthorization of the Commodity Futures Trading Commission written by United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry and published by . This book was released on 1996 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-16 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt: Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 On July 12, 2012, the Commodity Futures Trading Commission ("Commission" or "CFTC") published for public comment its proposed interpretive guidance and policy statement ("Proposed Guidance") regarding the cross-border application of the swaps provisions of the Commodity Exchange Act ("CEA"), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "Dodd-Frank"). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance ("Further Proposed Guidance"). This book contains: - The complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book The CFTC Glossary written by and published by . This book was released on 1997 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Risk Based Capital written by Lawrence D. Cluff and published by DIANE Publishing. This book was released on 2000 with total page 187 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Energy Law Journal written by and published by . This book was released on 2006 with total page 736 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Report of the Presidential Task Force on Market Mechanisms written by United States. Presidential Task Force on Market Mechanisms and published by . This book was released on 1988 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Financial Crisis Inquiry Report written by Financial Crisis Inquiry Commission and published by Cosimo, Inc.. This book was released on 2011-05-01 with total page 692 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Financial Crisis Inquiry Report, published by the U.S. Government and the Financial Crisis Inquiry Commission in early 2011, is the official government report on the United States financial collapse and the review of major financial institutions that bankrupted and failed, or would have without help from the government. The commission and the report were implemented after Congress passed an act in 2009 to review and prevent fraudulent activity. The report details, among other things, the periods before, during, and after the crisis, what led up to it, and analyses of subprime mortgage lending, credit expansion and banking policies, the collapse of companies like Fannie Mae and Freddie Mac, and the federal bailouts of Lehman and AIG. It also discusses the aftermath of the fallout and our current state. This report should be of interest to anyone concerned about the financial situation in the U.S. and around the world.THE FINANCIAL CRISIS INQUIRY COMMISSION is an independent, bi-partisan, government-appointed panel of 10 people that was created to "examine the causes, domestic and global, of the current financial and economic crisis in the United States." It was established as part of the Fraud Enforcement and Recovery Act of 2009. The commission consisted of private citizens with expertise in economics and finance, banking, housing, market regulation, and consumer protection. They examined and reported on "the collapse of major financial institutions that failed or would have failed if not for exceptional assistance from the government."News Dissector DANNY SCHECHTER is a journalist, blogger and filmmaker. He has been reporting on economic crises since the 1980's when he was with ABC News. His film In Debt We Trust warned of the economic meltdown in 2006. He has since written three books on the subject including Plunder: Investigating Our Economic Calamity (Cosimo Books, 2008), and The Crime Of Our Time: Why Wall Street Is Not Too Big to Jail (Disinfo Books, 2011), a companion to his latest film Plunder The Crime Of Our Time. He can be reached online at www.newsdissector.com.
