Download or read book Audits of Futures Commission Merchants Introducing Brokers and Commodity Pools written by and published by . This book was released on 1998 with total page 352 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Annual Report written by United States. Commodity Futures Trading Commission and published by . This book was released on 1976 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Annual Review written by National Futures Association (U.S.) and published by . This book was released on 1988 with total page 190 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Review of the Commodity Futures Trading Commission written by United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation, Credit, and Rural Development and published by . This book was released on 1984 with total page 164 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Oversight on Matters Relating to the Commodity Futures Trading Commission written by United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation and published by . This book was released on 1984 with total page 162 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Commodity Futures Trading Commission Oversight written by United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee and published by . This book was released on 1982 with total page 1500 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Audits of Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee and published by . This book was released on 1994 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Futures Markets written by United States. General Accounting Office and published by . This book was released on 1991 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Futures Trading Act of 1982 written by United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry and published by . This book was released on 1982 with total page 188 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book A Compliance Guide written by National Futures Association (U.S.) and published by . This book was released on 1988 with total page 44 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Commodity Futures Law Reporter written by Commerce Clearing House and published by . This book was released on 1974 with total page 2044 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Futures Markets written by Cecile O. Trop and published by DIANE Publishing. This book was released on 1997-09 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: U.S. futures exchanges and the National Futures Assoc. are responsible for enforcing member firms' compliance with industry standards for marketing and selling futures products to the public. The Commodity Futures Trading Commission (CFTC) oversees enforcement of sale practices standards to ensure the integrity of the self-regulatory process and to protect investors from sales practice abuse. This report is an evaluation of CFTC oversight of self-regulatory organization monitoring and enforcement of sales practice compliance among futures industry firms. Charts and tables.

Download or read book Code of Federal Regulations written by and published by . This book was released on 2014 with total page 924 pages. Available in PDF, EPUB and Kindle. Book excerpt: Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.

Download or read book Registration of New Futures Commission Brokers and Floor Brokers written by CFTC Program Study Group and published by . This book was released on 1975 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing 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 2018-06-11 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new regulations and amending existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants ("FCMs"). This book contains: - The complete text of the Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing 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 Investor and Industry Perspectives on Investment Advisers and Broker Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.

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: