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SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed
The SEC & Commodity Futures Trading Comm. (CFTC) i

 
Our Price: $20.00
By Richard J. Hillman (au)
Year: 2005
Pages: 47
Binding Paperback

Product Code: 142230440X

Description
 
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.

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