The Securities and Exchange Commission and state regulators are looking into how individual investors were treated in the Facebook deal.
WSJ: Facebook Faces Lawsuits, Arbitration Over Its Initial Public Offering
The Securities and Exchange Commission and other federal regulators are currently considering revising auditing standards adopted five years ago in the Sarbanes-Oxley Act.
Regulators from both the exchange and the government are supposed to be on the lookout for insider trading.
It also recommends that the landmark Sarbanes-Oxley corporate governance act of 2002 be incorporated into the Securities Exchange Act of 1934, giving regulators more authority over corporate issues.
The money funded a Canadian public offering called YBM-Magnex International, legitimized by banks like the Royal Bank of Scotland, regulators on the Toronto Exchange and the company's auditors Deloitte and Touche.
Regulators determined that off-exchange CDSs were the main culprit in the 2008 financial crisis.
Still, Euronext, a Pan-European exchange, has managed to juggle multiple regulators and thrive.
Regulators like the Securities and Exchange Commission, the FDIC, and the Federal Reserve want public input before implementing the rules.
Dubai's reputation took a beating on Thursday when Swedish regulators said its main stock exchange had broken the law by announcing plans to buy more than 25% of OMX, a week before its official bid.
Dubai's reputation took a beating on Thursday when Swedish regulators said its main stock exchange had broken the law by announcing plans to buy more than 25% of OMX (other-otc: OMGPF - news - people ), a week before its official bid.
Just recently the parents of the Toronto Stock Exchange and London Stock Exchange scuttled their deal when it became clear it would not get the support necessary, and earlier this year Australian regulators rejected a proposed takeover of ASX by the Singapore Exchange.
FORBES: NYSE Merger Wins Shareholder Approval, But Do Exchange Deals Miss Forests For Trees?
Even regulators, such as the Securities Exchange Commission, know investors are routinely misled by past performance figures.
FORBES: Everyone Wants Kool Aid: Pruning the Money Management Tree (October 29, 2008)
Credit default swaps are sold over the counter, are not traded on an exchange and are outside the close scrutiny of regulators.
Unfortunately, investors can also expect a tidal wave of accounting minutiae from the regulators, as the Securities and Exchange Commission (SEC) and the Financial Accounting Standards Board (FASB) get on the stick.
In December, the House subcommittee questioned MF Global officials, including Mr. Corzine, as well as representatives of regulators such as the Securities and Exchange Commission and Commodity Futures Trading Commission.
Why have the securities regulators, namely the Securities and Exchange Commission, failed to punish the Wall Street banks that fueled the mortgage crisis by underwriting toxic mortgages and selling them to the public?
Under the JOBS Act, websites that want to act as crowdfunding investment platforms will have to register with the Securities and Exchange Commission, which must work with state regulators to make sure that all such crowdfunding is sound.
Some want a central trade-quoting facility for lumpy asset-backed products: regulators have approached the New York Stock Exchange.
The Bernal brothers had infiltrated Ribadeo Casa de Cambio, a Mexican exchange house that has been shut down by Mexican regulators.
Madoff was able to operate for years with little apparent oversight from the Securities and Exchange Commission, and it's not clear regulators would have caught on to his crimes had his sons not turned him in.
The Volcker rule is being crafted by five regulators, including the Fed, the Securities and Exchange Commission and the Commodity Futures Trading Commission.
He proposes increases for the Securities and Exchange Commission and the Commodity Futures Trading Commission, two financial regulators that have come under fire after recent Wall Street mishaps.
American regulators are on the verge of approving physically backed copper exchange-traded funds, listed investment vehicles that have become hugely popular.
ECONOMIST: The charge-sheet against commodity speculators is flimsy
There are big plans for Russia, sub-Saharan Africa and South Korea, where HSBC is waiting for regulators to approve its 51% stake purchase in Korea Exchange Bank from Lone Star.
The course of events was that on Wednesday Mr Adoboli disclosed to UBS that he had engaged in unauthorised trades, in his role as part of UBS's so-called Delta One trading team, which deals in exchange traded funds (or tradable investment funds whose proliferation has concerned regulators).
But little has been said about the watchdogs at the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, the regulators who oversee the activities of the banks.
In a statement Thursday evening, the Securities and Exchange Commission and Commodity Futures Trading Commission said they are working with other regulators and the exchanges to review unusual trading activity during the afternoon.
And regulators would be wise to do more research into the market for exchange-traded funds, which showed itself to be particularly vulnerable to price swings on May 6th.
ECONOMIST: The post mortem into the stockmarket slide of May 6th
On Wednesday, U.S. regulators voted in favor of a plan to beef of governance at the exchange, which included splitting the chairman and CEO roles.
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