The commission is now getting more help from the China Securities Regulatory Commission, its cross-border counterpart.
In October, the China Securities Regulatory Commission introduced new rules relaxing restrictions on securities companies offering wealth-management services.
As with most good-intentioned bureaucratic solutions, the ban, imposed by the China Securities Regulatory Commission, has not worked.
But it's also because the China Securities Regulatory Commission has dramatically boosted its oversight capacity as the market has developed.
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Mr Shang's former job running the China Securities Regulatory Commission goes to Guo Shuqing, who until recently was chairman of China Construction Bank, a giant state-controlled bank.
Now, VIEs have come under the scrutiny of Chinese regulators, the China Securities Regulatory Commission (CSRC), which has asked the State Council to take action against VIEs.
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In the past week, the China Securities Regulatory Commission, the country's top securities watchdog, has instructed brokerage and fund-management firms across the country to examine their bond-trading books for irregularities.
Notably, the Shanghai index dropped by approximately 3 percent on May 20, the same day that the China Securities Regulatory Commission Chairman Shang Fulin said that the international board launch is not very far away.
On May 9, the China Securities Regulatory Commission announced that it will experiment with letting small and private companies issue junk bonds, a change that could make it easier for such companies to obtain credit.
Guo Shuqing, the head of the China Securities Regulatory Commission, said that the regulator had already reached an agreement with the Chinese central bank and the State Administration of Foreign Exchange to raise the QFII limit.
Amid worries that new IPOs would drain money away from markets and hurt overall share price level, China Securities Regulatory Commission slowed down IPO approvals after June, and then shut down the IPO market completely in December.
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Guo Shuqing, a former top banker who took over as head of the China Securities Regulatory Commission in October, has publicly discussed ways to bolster the markets and help make them more friendly for investors as well as for smaller companies seeking new sources of capital.
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The China Securities and Regulatory Commission since last year has taken steps to address investor concerns, including lowering trading fees and tightening delisting rules.
Nine states, the Federal Energy Regulatory Commission and the U.S. Securities and Exchange Commission are reviewing the deal.
The Municipal Securities Rulemaking Board, a self-regulatory body that reports to the Securities and Exchange Commission, has proposed rules that would require brokers to ask clients about the importance of state tax benefits, explain a client's direct-sold in-state plan for comparison purposes, and determine what is most suitable for the client--instead of just pushing broker-sold out-of-state plans that might carry higher commissions for them.
The Supreme Court may be asked to determine the extent of the U.S. Securities and Exchange Commission's regulatory powers, for example, or to balance the interests of small and large competitors in an antitrust suit.
The Securities and Exchange Commission, the regulatory body that protects U.S. investors, on May 8 informed Congress that it would increase disclosure conditions for companies listing in the United States and doing business with countries affected by American sanctions.
That included a 4 percent declined in carbonated soft drinks and a 3 percent decline in non-carbonated drinks, according to a regulatory filing with the Securities and Exchange Commission.
On Sept. 14, 2012, the Securities and Exchange Commission announced an historic regulatory action resulting in the implementation of an order against the New York Stock Exchange for compliance failures that gave certain customers an improper head start on trading information.
In that regard, utility deals need approval from the public service commissions of each jurisdiction in which the combined entity is to do business, as well as the Securities and Exchange Commission, the Federal Energy Regulatory Commission and the Federal Trade Commission.
One prominent supplier of money market and mutual fund data Pete Crane, of Crane Data, says that both the Securities and Exchange Commission and the broader financial regulatory system are deadlocked on the issue of how, if at all, the industry ought to be reformed.
A., as well as of federal regulatory agencies, such as the Securities and Exchange Commission and the Department of Energy.
And while a constitutional probe is on the cards, a regulatory investigation by Thailand's Securities and Exchange Commission is already underway.
Mr Spitzer claims that the bankers on this committee would have been reluctant to complain about Mr Grasso's excessive pay, since they had a clear incentive to get along with him: he had a regulatory role and some influence over other regulatory bodies, such as the Securities and Exchange Commission (SEC).
In a regulatory filing, it said that the Securities and Exchange Commission had asked for documents in 2011.
The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.
The SBA's Office of Advocacy monitors federal agencies like the Environmental Protection Agency, the Occupational Safety and Health Administration, the Department of Commerce and the Securities and Exchange Commission--in accordance with the Regulatory Flexibility Act of 1980--to make sure they aren't creating new rules that place a disproportionate burden on small businesses.
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.
Now, Mr. Mandl is planning for the shareholder vote and overseeing the board's dealings with the Securities and Exchange Commission, which must clear Dell's regulatory disclosures related to the deal.
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