Join our mailing list!
(Your shopping cart is empty)
Diane Publishing Books
SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
Richard J. Hillman (au)
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.
Dynamic Nutrition for Maximum Performance: A Complete Nutritional Guide for Peak Sports Performance
In the Combat Zone: Special Forces Since 1945
Not Fade Away: The On-Line World Remembers Jerry Garcia
History of the New York Central System
Wordsworth Dictionary of the American West
Share your knowledge of this product with other customers...
Be the first to write a review
Diane Publishing Co
PO Box 617
Darby, PA 19023-0617
Become an Affiliate
Send Us Feedback
Copyright ï¿½ 2004 Diane Publishing Company. All Rights Reserved.