Mary Schapiro, chairman of the Securities and Exchange Commission, the agency responsible for securities regulation, wrote a letter full of objections.
Securities regulation in America has been a largely federal matter ever since the establishment of the Securities and Exchange Commission in 1934.
It turns out the gratuitously missing links are a perverse effect of the quiet period, a securities regulation under which the company cannot comment publicly on the offering.
In a sense, securities regulation is the operator's best friend.
In contrast, securities regulation and supervision across Europe are chaotic.
We now face the prospect that various rogue states, getting into the securities regulation business, will extract extortion payments from Merrill Lynch and all the other big brokerage firms.
The yuan is not convertible, foreign banks and other financial institutions are heavily restricted, the country's legal system is, to put it mildly, inadequate, and securities regulation is a joke.
A. in Natural Sciences and a Master of Health Sciences in Biostatistics from the Johns Hopkins University, a Juris Doctorate from the University of Baltimore, and a Master of Laws in Securities Regulation from the Georgetown University Law Center.
On June 20, 2011 a three-judge panel of the Second Circuit Court of Appeals issued a decision demonstrating the way in which the U.S. legal system continues to struggle with the digital revolution, a revolution that is undermining securities regulation, intellectual property law, and even the basics of tort law.
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Activists, who have turned to securities regulation as a tool for pressuring companies to withdraw from controversial investments, said this marks the first time the SEC has publicly singled out concerns over human rights, national security or religious freedom as a trigger for closer examination of a foreign firm's application to list its stock in U.S. markets.
Securities market regulation does not often have much to do with foreign policy.
This has led Congress to consider ending state regulation of securities entirely.
For the soundness of its auditing standards and regulation of its securities exchanges, it is second to none.
This quid pro quo bias that they share with journalists was a reason that the U.S. Securities and Exchange Commission passed Regulation FD.
While these rules pertain to the U.S. securities laws, we believe regulation in the EU should mirror that of the U.S. with regard to derivatives.
It was just two years ago that the U.S. Securities and Exchange Commission implemented Regulation Fair Disclosure (RegFD) to stop companies from selectively sharing news with certain analysts or investors.
If one person offers investment advice and buys and sells securities for others, the regulation on that person should not be different depending on whether that person is employed by a bank, a stock brokerage firm, an insurance company or is a self-employed registered investment adviser.
Earlier this year the Securities and Exchange Commission approved a regulation known as Reg NMS, which emphasises the need for markets to be speedy.
On August 29, 2012, the SEC released for comment a set of proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933.
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There are also changes to Regulation A and D in securities laws that would imperil investors.
The postscript on mortgage backed securities insanity is harsh and tedious bank regulation hamstringing The Street for decades to come.
The Olympus affair is likely to set in train a fairly thorough and far-reaching strengthening and tightening of Japanese codes of conduct, laws and regulations, and criminal and civil remedies to deal with false financial reporting, non-disclosure, and due diligence requirements for company auditors, and stricter and more intrusive regulation by government agencies and securities exchanges.
What keeps Ebay from becoming a stock market is government regulation: Most countries like their securities markets to follow rules.
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Bovespa provides trading, clearing, custody, and other services with regulation of the financial markets by the Securities and Exchange Commission of Brazil.
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If all that weren't bad enough, the neophytes overseeing public pension plans are not subject to comprehensive federal or state regulation or to the strictures that the Securities and Exchange Commission imposes on private sector money managers.
Today, he spoke with the former chairman of the Securities and Exchange Commission William Donaldson about how a lack of regulation helped create the downturn.
In 1999, the U.S. Securities and Exchange Commission (SEC) proposed and later ratified Regulation Fair Disclosure to address selective releases of material information by publicly traded companies and other issuers.
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And this week it won a major victory when the U.S. Securities and Exchange Commission voted (albeit narrowly) to approve Regulation NMS, which includes new trade-through-rules that require execution of orders even if it means going to rival exchanges to do so.
One almost laughable example of lame self-regulation: the BrokerCheck Program, run by the National Association of Securities Dealers, the brokerage industry's self-regulator.
Meanwhile, SIFMA, the securities industry trade association, has pretty consistently been an unwavering mouthpiece for minimal regulation, and locating any regulation in New York when it is unavoidable, as with the DTCC and the LEI.
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