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 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 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 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 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 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 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 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 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.

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 penalities continued progress made in collection efforts but greater SEC management attention is needed report to congressional requesters written by and published by DIANE Publishing. This book was released on 2005 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Clarify Jurisdiction of SEC and Definition of Security written by United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation, Credit, and Rural Development and published by . This book was released on 1982 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators Etc Us Securities and Exchange Commission Regulation Sec 2018 Edition written by The Law Library and published by Independently Published. This book was released on 2019-01-29 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law Library presents the complete text of the Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators, etc. (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, "we" or the "Commissions") are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. This ebook contains: - The complete text of the Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators, etc. (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure

Download or read book Financial Markets written by and published by . This book was released on 1991 with total page 20 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.