SEC and CFTC: Most Fines Collected, but Improvements Needed in the Use of Treasury's Collection Service
Description:
A letter report issued by the General Accounting Office with an abstract that begins "Fines are one way for regulators to sanction those who violate securities and futures industry rules. However, for fines to be effective, regulators must collect them. This report reviews fine collection by the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and nine exchanges and industry associations that act as self-regulatory organizations (SRO) in the securities …
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Date:
July 13, 2001
Creator:
United States. General Accounting Office.
Partner:
UNT Libraries Government Documents Department