Financial Regulation and Compliance. Kotz H. David
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Название: Financial Regulation and Compliance

Автор: Kotz H. David

Издательство: Автор

Жанр: Зарубежная образовательная литература

Серия:

isbn: 9781118972229

isbn:

СКАЧАТЬ id="n11">

11

See http://www.sec.gov/about/whatwedo.shtml#.VMaC8dhOW70.

12

See ibid.

13

For further background on CorpFin, see the website at http://www.sec.gov/corpfin.

14

For further background on Trading and Markets, see the website at http://www.sec.gov/tm#.VMaDa9hOW70.

15

For further background on Investment Management, see the website at http://www.sec.gov/investment.

16

For further background on Enforcement, see the website at http://www.sec.gov/enforce#.VMaDvdhOW70.

17

For further background on RiskFin, see the website at http://www.sec.gov/about/whatwedo.shtml#.VMaDy9hOW73.

18

For further background on OCIE, see the website at http://www.sec.gov/ocie#.VMaEBdhOW70.

19

For further background on FINRA, see the website at www.finra.org/.

20

See http://www.finra.org/AboutFINRA/WhatWeDo/.

21

For further information on FINRA's Market Data Center, see http://finra-markets.mornin gstar.com/MarketData/Default.jsp.

22

For further information on FINRA's TRACE system, see http://www.finra.org/Industry/Compliance/MarketTransparency/TRACE/.

23

For further information on FINRA's Dispute Resolution programs, see http://www.finra.org/ArbitrationAndMediation/FINRADisputeResolution/.

24

See http://www.cftc.gov/About/MissionResponsibilities/index.htm.

25

See ibid.

26

For further background on the CFTC's Division of Clearing and Intermediary Oversight, see http://www.cftc.gov/About/CFTCOrganization/index.htm.

27

For further background on the CFTC's Division of Enforcement, see http://www.cftc.gov/LawRegulation/Enforcement/index.htm.

28

See 7 U.S.C. section 6d(a).

29

See CFTC Regulation 170.15.

30

For further background on FINRA, see www.nfa.futures.org/.

31

See http://www.nfa.futures.org/NFA-faqs/compliance-faqs/examinations/index.HTML.

32

See ibid.

33

See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/how-NFA-fights-fraud-and-abuse.HTML.

34

See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/customer-protection-initiatives.HTML.

35

See ibid.

36

Mediation is a settlement process in which the parties work together with a mediator to find a mutually agreeable solution. For further information on the NFA's arbitration programs, see http://www.nfa.futures.org/%5C/NFA-about-nfa/who-we-are/dispute-resolution.HTML.

37

For further background on the DOJ, see the website at www.justice.gov/.

38

http://www.justice.gov/about/.

39

See http://www.justice.gov/criminal/fraud/fcpa/guidance/guide.pdf.

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