But it's questionable whether it is the most effective or efficient way to protect investors.
When investment professionals fail to adequately protect investors from severe market downturns, investors feel betrayed.
It would protect investors by forcing brokers to adhere to the highest-possible standard of care.
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The SEC is taking its time to develop the rules and regulations to protect investors.
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Their mission is to protect investors by maintaining the fairness of the U.S. capital markets.
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Covenants protect investors by requiring companies to take action when their finances start to deteriorate.
The association of securities regulators says the JOBS Act doesn't do enough to protect investors.
The auditors simply failed to do the leg work necessary to protect investors, Norris concluded.
Rather, the SEC is seeking to protect investors in our domestic markets against bona fide material risks.
The SEC rejects the notion that, generally speaking, information gathered to protect investors should be provided to investors.
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Regulators have a duty to protect investors and weigh the concerns of companies that wish to remain private.
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However, it seems that a quick trip to public trading through a reverse merger does little to protect investors.
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Make no mistake about it, the NASD primarily exists to advocate on behalf of brokerages, not to protect investors.
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And they add that regulatory changes made in 2010 have proven enough to protect investors making more rules unnecessary.
Many Investment Advisors have a very straight forward business model that facilitates prudent checks and balances to protect investors.
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If you want to know how to not protect investors, take a good look at the Investment Company Act of 1940.
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Some securities lawyers say his job raises questions about the effectiveness of bans, an important tool used by regulators to protect investors.
Amidst the approximately 850 pages of the Dodd-Frank legislation lie several important provisions and initiatives that are designed to help better protect investors.
He pitched the notion that a smart money man could protect investors against market spills by going long some stocks and short others.
The Malaysian Securities Commission has taken the view that web-based investment advisory services that would charge money should be licensed separately to protect investors.
Mr. Corzine was given free rein to run MF Global like a private investment fund, and the board did not intervene to protect investors.
The public is rightfully skeptical of any government agency that purports to protect investors by requiring disclosures to the agency but rarely to investors themselves.
First, the Act specifically allows investment bankers and research analysts to formally collaborate on an IPO (although appropriately retaining the independence safeguards designed to protect investors).
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Putin's Center for Strategic Research is focusing on junking the Kremlin's nightmarish tax code, as well as on coming up with new rules to protect investors.
It would also be costly for the government, which has promised to protect investors if a trust fails to redeem its shares at their current value.
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Sarbanes-Oxley was enacted to protect investors, not the regulated company.
For a moment, let me talk about some things FINRA does to protect investors that Ms. Kalla and others at Forbes usually leave out when writing about the organization.
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The Dodd-Frank Act recognized that the SEC has had, in the past, great difficulty identifying significant frauds and malfeasances at an early enough stage to protect investors from serious harm.
Records of personal trading by portfolio managers, as well as violations of law caused by such trading, are required to be maintained internally by mutual fund companies-supposedly to protect investors.
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Speaking at the news conference on Thursday, Schapiro said there must be "consistent and robust enforcement" of regulations to protect investors, saying it will be her top priority as SEC chief.
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