Download or read book Securities and Exchange Commission Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations written by and published by DIANE Publishing. This book was released on 2007 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities and Exchange Commission written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-01-17 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
Download or read book Securities and Exchange Commission written by Mary L. Schapiro and published by DIANE Publishing. This book was released on 2009-12 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt: The SEC Div. of Enforcement (Enforcement) plays a key role in meeting the agency's mission to protect investors and maintain fair and orderly markets. In recent years, Enforcement has brought cases yielding record civil penalties, but questions have been raised about its capacity to manage its resources and fulfill its law enforcement and investor protection responsibilities. This report evaluates: (1) SEC's progress toward implementing previous recommendations; (2) the extent to which Enforcement has an appropriate mix of resources dedicated to achieving its objectives; and (3) the adoption, implementation, and effects of recent penalty policies. Includes recommendations. Charts and tables.
Download or read book Securities and Exchange Commission written by United States. Government Accountability Office and published by . This book was released on 2007 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Four Ways To Improve SEC Enforcement written by Andrew N. Vollmer and published by . This book was released on 2016 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: The enforcement program at the Securities and Exchange Commission has been the subject of severe criticism in recent years. The occasional reforms that have been adopted have not begun to root out the deeper, structural defects with the investigation and charging process at the SEC. Reforms going to the essence of the process and the way the Division of Enforcement operates are needed. The three fundamental problems with SEC enforcement are that the Commission and the Division of Enforcement (1) advance legal theories that are outside settled boundaries, (2) misunderstand or mischaracterize the factual record, and (3) fail to accord fair and impartial treatment to persons being investigated. The result is an unacceptably high number of cases that lack merit, meaning either that the extensive evidence collected by the SEC does not support the alleged violation or that the case relies on a legal theory that is not likely to be accepted by a court. The SEC can do better and be more effective. It can extend more fairness and consideration to those being investigated without any damage to tough enforcement. The paper describes four ways to improve SEC enforcement: • use established and accepted legal theories and do not base claims on new, untested liability theories, • create an objective and balanced investigative record that considers both potential wrongdoing and innocent explanations,• apply rigorous, neutral standards before opening investigations and initiating cases. A formal investigation should be based on credible evidence justifying a reasonable suspicion of a possible violation and on an evaluation of enforcement priorities. The Commissioners should not authorize a proceeding unless they believe a reasonable person would conclude that the SEC is more likely than not to prevail on the facts and the law and believe that a proceeding would serve broad and legitimate enforcement goals, and • substantially shorten investigations. Each member of the staff should make an effort to limit the number of documents requested and the number of individuals called for testimony. A fifth possible reform, discussed in an earlier article, is that the SEC should significantly narrow investigative subpoenas.
Download or read book Securities and Exchange Commission SEC written by A. Nicole Clowers and published by DIANE Publishing. This book was released on 2011-04 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC may order civil monetary penalties and seek ill-gotten financial gains, or disgorgement, from individuals who violate fed. securities laws and regulations. In 2002, Congress passed the Sarbanes-Oxley Act, which established numerous reforms to increase investor protection, including Sect. 308(a), the Fed. Account for Investor Restitution provision. This provision allows SEC to combine civil monetary penalties and other donations to disgorgement funds for the benefit of investors who suffer losses resulting from fraud or other securities violations. This report examines: (1) the status of Fair Fund collections and distributions; and (2) the actions that SEC has taken to address previous recommend. Illus. This is a print on demand report.
Download or read book The Practitioner s Guide to the Sarbanes Oxley Act written by John J. Huber and published by American Bar Association. This book was released on 2004 with total page 446 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulatory Breakdown written by Cary Coglianese and published by University of Pennsylvania Press. This book was released on 2012-08-16 with total page 290 pages. Available in PDF, EPUB and Kindle. Book excerpt: Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation brings fresh insight and analytic rigor to what has become one of the most contested domains of American domestic politics. Critics from the left blame lax regulation for the housing meltdown and financial crisis—not to mention major public health disasters ranging from the Gulf Coast oil spill to the Upper Big Branch Mine explosion. At the same time, critics on the right disparage an excessively strict and costly regulatory system for hampering economic recovery. With such polarized accounts of regulation and its performance, the nation needs now more than ever the kind of dispassionate, rigorous scholarship found in this book. With chapters written by some of the nation's foremost economists, political scientists, and legal scholars, Regulatory Breakdown brings clarity to the heated debate over regulation by dissecting the disparate causes of the current crisis as well as analyzing promising solutions to what ails the U.S. regulatory system. This volume shows policymakers, researchers, and the public why they need to question conventional wisdom about regulation—whether from the left or the right—and demonstrates the value of undertaking systematic analysis before adopting policy reforms in the wake of disaster.
Download or read book Federal Register written by and published by . This book was released on 2012-07 with total page 340 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Prosecutors in the Boardroom written by Anthony S. Barkow and published by NYU Press. This book was released on 2011-04-18 with total page 288 pages. Available in PDF, EPUB and Kindle. Book excerpt: Who should police corporate misconduct and how should it be policed? In recent years, the Department of Justice has resolved investigations of dozens of Fortune 500 companies via deferred prosecution agreements and non-prosecution agreements, where, instead of facing criminal charges, these companies become regulated by outside agencies. Increasingly, the threat of prosecution and such prosecution agreements is being used to regulate corporate behavior. This practice has been sharply criticized on numerous fronts: agreements are too lenient, there is too little oversight of these agreements, and, perhaps most important, the criminal prosecutors doing the regulating aren’t subject to the same checks and balances that civil regulatory agencies are. Prosecutors in the Boardroom explores the questions raised by this practice by compiling the insights of the leading lights in the field, including criminal law professors who specialize in the field of corporate criminal liability and criminal law, a top economist at the SEC who studies corporate wrongdoing, and a leading expert on the use of monitors in criminal law. The essays in this volume move beyond criticisms of the practice to closely examine exactly how regulation by prosecutors works. Broadly, the contributors consider who should police corporate misconduct and how it should be policed, and in conclusion offer a policy blueprint of best practices for federal and state prosecution. Contributors: Cindy R. Alexander, Jennifer Arlen, Anthony S. Barkow, Rachel E. Barkow, Sara Sun Beale, Samuel W. Buell, Mark A. Cohen, Mariano-Florentino Cuellar, Richard A. Epstein, Brandon L. Garrett, Lisa Kern Griffin, and Vikramaditya Khanna
Download or read book Evaluation of Federal Housing Finance Agency s Oversight of Fannie Mae s and Freddie Mac s Executive Compensation Programs written by and published by DIANE Publishing. This book was released on with total page 37 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Congressional Record written by United States. Congress and published by . This book was released on 1970 with total page 1436 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Congressional Record is the official record of the proceedings and debates of the United States Congress. It is published daily when Congress is in session. The Congressional Record began publication in 1873. Debates for sessions prior to 1873 are recorded in The Debates and Proceedings in the Congress of the United States (1789-1824), the Register of Debates in Congress (1824-1837), and the Congressional Globe (1833-1873)
Download or read book Complex Service Delivery Processes written by Jean Harvey and published by Quality Press. This book was released on 2021-10-01 with total page 335 pages. Available in PDF, EPUB and Kindle. Book excerpt: Different types of organizations provide services that require multiple, complex services to produce results. Oftentimes, those complex services morph into a maze of system processes that crisscross, impeding the smooth operation of processes and value creation. So how can you manage multiple services efficiently and effectively? This book outlines the strategy and execution needed to meet your goals. Numerous examples, exercises, and tools are included to help explain and clarify. The revised fourth edition includes a new focus on the impact of artificial intelligence in complex services, as well as links to video clips and podcasts. Professionals, semi-professionals, and technical workers in all areas, from law to medicine, accounting to engineering, social work to architecture, will find this book an invaluable tool in achieving success.
Download or read book Financial Audit written by James R. Dalkin and published by DIANE Publishing. This book was released on 2010-08 with total page 78 pages. Available in PDF, EPUB and Kindle. Book excerpt: Established in 1934 to enforce the securities laws and protect investors, the United States Securities and Exchange Commission (SEC) plays an important role in maintaining the integrity of the U.S. securities markets. Pursuant to the Accountability of Tax Dollars Act of 2002, SEC is required to prepare and submit to Congress and the Office of Management and Budget audited financial statements. This audit of SEC's financial statements determines whether: (1) the financial statements are fairly stated; and (2) SEC management maintained effective internal control. The auditor also tested SEC's compliance with selected provisions of significant laws and regulations. Charts and tables.
Download or read book Money Manager s Compliance Guide written by Clifford J. Alexander and published by . This book was released on 1994 with total page 362 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book SEC written by Securities and Exchange commission and published by . This book was released on 2000 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt:
