The stock exchanges and other self-regulatory organizations effectively act as the SEC's beat police.
The stock exchanges publish daily lists on the most heavily shorted stocks, thus the hardest to borrow.
It now holds stakes in six electronic trading upstarts, even though they are reviled by the stock exchanges themselves.
The Financial Industry Regulatory Authority, which oversees broker-dealers along with the stock exchanges, sent a warning to member companies last week.
Foreign institutional investors and their sub-accounts can invest directly into any of the stocks listed on any of the stock exchanges.
"It's the world's financial center, with the stock exchanges, banks, brokers, law firms and the financial intermediaries, " says Robert Grieves, a spokesman.
"It's the world's financial center, with the stock exchanges, banks, brokers, law firms and all the financial intermediaries, " says spokesman Robert Grieves.
First the stock exchanges of London and Toronto decided to get hitched.
The stock exchanges in Shanghai and Shenzhen are mobilising capital and allocating it with an efficiency that China has never seen before.
The businesses that take this broader and longer view are those that are also being rewarded in the retail markets and on the stock exchanges.
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Fairchild is not exactly typical of American corporate performance, but, still, this case makes you wonder about the flood of insider takeover offers coming to the stock exchanges.
The U.S. Securities and Exchange Commission has been studying the issue of naked short-selling and even instituted new regulations in January 2005 that require the stock exchanges to report stocks that routinely fail-to-deliver.
Committee members include Brooksly Born, a former CFTC head, Jack Brennan, former head of Vanguard, Richard Ketchum from the self-regulatory group Finra (which oversees the stock exchanges), and David Ruder, former SEC chairman.
It owns 10% of the Oslo Stock Exchange, and 60 other exchanges, depositories and clearing organizations, including the Nordic Exchange, an umbrella term used to describe the stock exchanges of Helsinki, Copenhagen, Stockholm, Iceland, Tallinn, Riga and Vilnius.
Grassley that the agency was working to improve its oversight of self-regulatory organizations like the stock exchanges following recommendations by the Government Accountability Office, which concluded in its own report on the SEC last year that the agency's inefficiency impedes its ability to investigate insider trading.
The complaints have gotten a sympathetic ear on Capitol Hill, where lawmakers have just gotten a proposal by the Treasury Department for a sweeping overhaul of financial market regulation, including the merger of the SEC with the Commodities Futures Trading Commission and the reassignment of many of the SEC's enforcement duties to the stock exchanges and other self-regulatory agencies.
The SEC and the heads of the major stock exchanges are still scratching their heads over the cause of the 1, 000-point drop in the Dow last week.
The presence of arbitrageurs keeps the prices on the two stock exchanges within a very tight range.
For example, some 1, 216 companies in China are listed on either the Shanghai or the Shenzhen stock exchanges.
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The site was run by Chinese web firm Xunlei, which had previously planned to float on one of the US stock exchanges.
The only companies that had money back then were the large state-owned enterprises that were able to borrow all they wanted from the four large state-owned banks, or perhaps go public on one of the new stock exchanges in Shanghai and Shenzhen.
Most of the trading in the Indian stock market takes place on its two stock exchanges: the Bombay Stock Exchange (BSE) and the National Stock Exchange (NSE).
Trading on the stock was ultimately halted and the SEC, which regulates American stock exchanges, is investigating the matter.
If you want to understand the future of the world's stock exchanges, consider the present state of internet auctions.
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The stock and futures exchanges, and yet another independent entity, the clearing house, will all become one.
Mergers between stalwarts NYSE and Nasdaq Stock Market and electronic exchanges Archipelago and Inet last year threatened extinction for the nation's regional stock exchanges, which have struggled to attract trade order flow with the boom in electronic trading.
As part of the closing, the company changed its name to Dominion Diamond Corp. and its common shares now trade on the Toronto and New York stock exchanges under the symbol DDC.
The leaders of corporate boards, global stock exchanges and the U.S. Securities and Exchange Commission offered a bold vision of the future where equality in the boardroom translated into equality in the front office and the management ranks.
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That is, when the futures markets get out of synch with the cash market for stocks trading on stock exchanges, the computers instantly spot the difference and pounce, buying one and selling the other for a few minutes, which brings them back into synch.
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