H.R. 718, Markets and Trading Reorganization and Reform Act of 1995: Hearings Before the Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, First Session, Parte2U.S. Government Printing Office, 1995 |
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activities additional resources Administrative Law Judges Administrative Procedure Act administrative proceedings ALJ Cases Heard appeal decisions Appeals Process Appendix II Description Appendix III Analysis attorneys and investigators BENTSEN BOTHWELL budget CFTC Administrative Hearings CFTC ALJ Programs CFTC and SEC CFTC has begun CFTC officials told CFTC's enforcement program Chairman BAKER commissioners Commodity Exchange Act Comparison of SEC Congress derivative products effective enforcement actions Enforcement Division exempted federal filed Fiscal Years 1989 FRANK CREMEANS FRANK LOBIONDO futures contract GARY ACKERMAN GOVERNMENT SPONSORED ENTERPRISES Heard During Fiscal Hearings and Appeals initial decision internal review investigate and litigate involving issues J.C. WATTS J.D. HAYWORTH James Bothwell jurisdiction larger than CFTC's LEACH LOBIONDO merger merging CFTC Office of Proceedings oversight penalties percent question registration regulations regulatory reparations respondents result SEC and CFTC SEC's enforcement programs securities and futures securities laws SUBCOMMITTEE ON CAPITAL subpoena swaps transactions
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Página 60 - ... be responsible to or subject to the supervision or direction of any officer, employee, or agent engaged in the performance of investigative or prosecuting functions for an agency. No officer, employee, or agent engaged in the performance of investigative or prosecuting functions for any agency...
Página 42 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 1 - The subcommittee met, pursuant to call, at 10:12 am, in room 2128, Rayburn House Office Building, Hon. Richard H. Baker, [chairman of the subcommittee], presiding. Present: Chairman Baker; Representatives Lucas, Ryan, Sweeney, Biggert, Terry, Toomey, Roukema, Royce, Cook, Kanjorski, Bentsen, Waters, C.
Página 78 - GAO report and testimony la free. Additional copies are $2 each. Orders should be sent to the following address, accompanied by a check or money order made out to the Superintendent of Documents, when necessary. Orders for 100 or more copies to be mailed to a single address are discounted 25 percent. Orders by mall...
Página 59 - A broker or dealer, and (iii) which is founded, directly or indirectly, upon the provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the...
Página 59 - State agency or other governmental body is a party, (i) to have violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the...
Página 43 - Schiffman, with participation in a partially successful scheme to distribute over one million unregistered shares of the common stock of Spectrum, Ltd. in violation of the registration provisions of the Securities Act of 1933 [the 1933 Act] ( 15...
Página 29 - In the ensuing debate, margin levels have become a political football in the struggle between the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC).
Página 68 - ... 12.9 suspending an attorney from participation in a reparation proceeding; (3) Upon a determination by the Administrative Law Judge certified to the Commission either in writing or on the record, that (1) A ruling sought to be appealed involves a controlling question of law or policy; (ii) An immediate appeal may materially advance the ultimate resolution of the issues in the proceeding; and (iii) Subsequent reversal of the ruling would cause unnecessary delay or expense to the parties; or (4)...
Página 54 - Commission; and other interested parties. We will also make copies available to others upon request.