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 Joint Report of the SEC and the CFTC on Harmonization of Regulation written by United States. Commodity Futures Trading Commission and published by . This book was released on 2009 with total page 94 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Ponzimonium written by Bartholomew H. Chilton and published by Us Independent Agencies and Commissions. This book was released on 2011-10-25 with total page 86 pages. Available in PDF, EPUB and Kindle. Book excerpt: True stories of crime and punishment that will inform and educate anyone who wants to find out how to identify and avoid becoming entangled in an investment fraud.

Download or read book SEC CFTC Jurisdictional Issues and Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1982 with total page 678 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC CFTC Jurisdictional Issues and Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1982 with total page 722 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC and CFTC Penalties written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2006-03 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book The SEC CFTC Jurisdiction and Margin written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1991 with total page 660 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC CFTC Jurisdictional Issues written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1990 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Financial Regulation written by Orice Williams Brown and published by DIANE Publishing. This book was released on 2010-08 with total page 58 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Download or read book CFTC and SEC issues related to the ShadJohnson Jurisdictional Accord report to congressional requesters written by and published by DIANE Publishing. This book was released on with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book U S Regulation of Hedge Funds written by Douglas L. Hammer and published by American Bar Association. This book was released on 2005 with total page 398 pages. Available in PDF, EPUB and Kindle. Book excerpt: This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.

Download or read book CFTC Report written by and published by . This book was released on 1987-07 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1994 with total page 892 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC CFTC Jurisdictional Issues and Oversight written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1982 with total page 1512 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book SEC and CFTC written by United States. General Accounting Office and published by . This book was released on 2001 with total page 46 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 Merging the SEC and CFTC A Clash of Cultures written by Jerry W. Markham and published by . This book was released on 2010 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The massive subprime losses at Citigroup, UBS, Bank of America, Wachovia, Washington Mutual, and other banks astounded the financial world. Equally shocking were the failures of Lehman Brothers, Merrill Lynch, and Bear Stearns. The conversion of Goldman Sachs and Morgan Stanley into bank holding companies left no large independent investment banks standing. If all that was not enough, Bernard Madoff's incredible $50 billion Ponzi scheme was a new milestone in the nation's financial history. Those failures and Madoff's fraud were unforeseen and undetected by the regulator, the Securities and Exchange Commission (SEC), which was responsible for overseeing the broker-dealers that failed and monitoring the investment advisers such as Madoff. That once-proud agency seemed helpless and hapless in the face of the subprime crisis, during which the investment banks it regulated lost hundreds of billions of dollars, threatening the entire economy. Although those debacles touched the very core of the SEC's regulatory role, it appeared clueless of the risks that the country's largest and most venerable investment banks undertook in subprime-related transactions. The SEC was completely surprised by the failures of Bear Stearns and Lehman Brothers. It was equally surprised by the Madoff fraud, despite several warnings that Madoff's reported profits were unrealistic. The derivatives counterpart to the SEC, the Commodity Futures Trading Commission (CFTC), was also under fire from the press and Congress in 2008 for its inability to control volatile commodity prices. Those price fluctuations were widely believed, without proof, to be caused by speculators acting with impunity in the commodity markets. Prices exploded to $147.27 a barrel in 2008, pushing gasoline prices to over $4 a gallon in July 2008, before dropping back to about $37 in February 2009. Widespread concerns were also raised about the transparency of the over-the-counter derivatives (OTC derivatives) markets that had been largely deregulated by the Commodity Futures Modernization Act of 2000. Some of the criticism of the SEC and CFTC is not justified. These two agencies were not responsible for the spike in commodity prices or the residential housing bubble. But the public has lost confidence in their ability to regulate markets because they have proved unable to deter or detect fraud. As the subprime crisis exploded, exposing the shortcomings of these agencies, the Treasury Department was considering its "Blueprint" for regulatory reform. Among the Blueprint's wide-ranging proposals was a recommendation for combining the CFTC and SEC into a single financial services regulator. This Article addresses that proposal.