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Department of the Treasurys Financial Management
GAO Contacts and Staff Acknowledgments
According to FMS Acting Chairman addition agreement American Stock Exchange barred individuals barred violators CFTC officials CFTC's Chicago Mercantile Exchange Chicago Stock Exchange collect fines collection activities collection efforts collection rates Commodity Exchange Act Commodity Futures Trading compromise offers cross-servicing database DCIA debtors delinquent debts disgorgement Division of Enforcement federal agencies Financial Management Service fines collected Fines Levied fines on closed fines to FMS FMS collections FMS for collection FMS officials futures industry futures SROs Futures Trading Commission Hillman imposition practices industrywide Levied on Closed levy fines NASD and NFA NASD officials NASD's National Futures Association NFA officials NFA's November 1998 report obtained officials told owed to SEC payments period private collection agencies Rates for Fines referred to FMS regulations SEC and CFTC SEC fines SEC officials SEC staff SEC's behalf securities and futures securities SROs seek readmission Total of fines York Mercantile Exchange York Stock Exchange