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Online Trading Investor Protections Have Improved But Continued Attention Is Needed Report To Congressional Requesters
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Book Synopsis Online trading investor protections have improved but continued attention is needed : report to Congressional requesters by :
Download or read book Online trading investor protections have improved but continued attention is needed : report to Congressional requesters written by and published by DIANE Publishing. This book was released on with total page 42 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis On-line Trading by : United States. General Accounting Office
Download or read book On-line Trading written by United States. General Accounting Office and published by . This book was released on 2001 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis On-Line Trading by : United States Accounting Office
Download or read book On-Line Trading written by United States Accounting Office and published by Createspace Independent Publishing Platform. This book was released on 2018-02-10 with total page 42 pages. Available in PDF, EPUB and Kindle. Book excerpt: GAO-01-858 On-Line Trading: Investor Protections Have Improved but Continued Attention Is Needed
Book Synopsis On-Line Trading Investor Protections Have Improved But Continued Attention Is Needed by :
Download or read book On-Line Trading Investor Protections Have Improved But Continued Attention Is Needed written by and published by . This book was released on 2001 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis On-line Trading by : United States. General Accounting Office
Download or read book On-line Trading written by United States. General Accounting Office and published by . This book was released on 2000 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Markets by : United States Accounting Office
Download or read book Securities Markets written by United States Accounting Office and published by . This book was released on 2004-04-05 with total page 126 pages. Available in PDF, EPUB and Kindle. Book excerpt: The equity listing standards of the three largest U.S. securities markets- the American Stock Exchange (Amex), Nasdaq Stock Market, Inc. (NASDAQ), and New York Stock Exchange (NYSE)-have received heightened attention as part of public and private efforts to restore investor confidence in the markets.1 Listing standards have been the focus of attention because they govern which companies can be listed for trading on a particular market and are intended in part to maintain public confidence in the markets. In its role as a self-regulatory organization (SRO), each market establishes and enforces the standards that companies must meet to be listed for trading.2 To oversee the effectiveness of the SROs' listing programs, the Securities and Exchange Commission (SEC), through its Office of Compliance Inspections and Examinations (OCIE), periodically inspects these programs and makes recommendations intended to improve them. Your ongoing interest in learning how the three largest SROs have addressed OCIE's recommendations for improving their listing programs, particularly those related to protecting investors, has broadened as listing standards have increasingly become the focus of solutions to challenges facing the markets.3 First, in response to the market turmoil resulting from the September 2001 terrorist attacks on the United States, NASDAQ, subject to SEC's oversight, implemented a rule that imposed a moratorium on enforcing its listing standards for bid price4 and market value of publicly held shares5 and subsequently implemented two additional rules that further relaxed its bid-price standard. These actions raised questions about how NASDAQ and SEC, in their regulatory roles, balanced the goal of market stability against that of investor protection. Second, the unexpected failures of several major corporations beginning in 2001 focused congressional and regulatory attention on improving issuers and SROs' corporate governance-that is, the way boards oversee management to ensure that organizations are well-run and shareholders are treated fairly.6 As agreed with your offices, we discuss the following in this report: (1) the status of OCIE's recommendations to the three largest SROs for improving their markets' equity listing programs, focusing on a recommendation intended to ensure early and ongoing public notification of issuers' noncompliance with continued listing standards; (2) the extent to which OCIE uses SROs' internal review reports in its inspection process;7 (3) SEC's oversight of NASDAQ's moratorium and subsequent bid-price rule changes and the listing status of the issuers directly affected by these
Book Synopsis On-line Trading by : United States. General Accounting Office
Download or read book On-line Trading written by United States. General Accounting Office and published by . This book was released on 2000 with total page 43 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis U.S. Government Securities by : United States. General Accounting Office
Download or read book U.S. Government Securities written by United States. General Accounting Office and published by . This book was released on 1990 with total page 118 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis On-line Trading by : United States. General Accounting Office
Download or read book On-line Trading written by United States. General Accounting Office and published by . This book was released on 2000 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Regulation of Securities on the Internet by : Charlotte Roederer
Download or read book Regulation of Securities on the Internet written by Charlotte Roederer and published by Aspen Publishers. This book was released on 2001 with total page 954 pages. Available in PDF, EPUB and Kindle. Book excerpt: The trend toward Internet-based securities trading, on-line investment advice and direct securities offerings in electronic media has not only revolutionezed the securities industry, it has focused tremendous attention on it... And the way it is regulated. But until now, there hasn't been a professional-level reference that begins with the electronic media and then fills the reader in on the essential securities framework... So that the new media questions are raised in context And The analysis is accessible from many different angles that consider the big picture. And that systematically examines all of the major regulatory aspects of new electronic media on the financial markets. Complex regualtory guidance is simplified, summarized and integrated. Every chapter is organized around a specific topic area, and considers in turn the SEC, federal, NASAA, state, and other regulatory and self-regulatory issues. And there are extensive footnotes, cross-references and quick pointers to source materials and other professional references.
Author :Public Affairs Information Service Publisher :[New York] : Public Affairs Information Service, Incorporated ISBN 13 : Total Pages :560 pages Book Rating :4.:/5 (321 download)
Book Synopsis PAIS Subject Headings by : Public Affairs Information Service
Download or read book PAIS Subject Headings written by Public Affairs Information Service and published by [New York] : Public Affairs Information Service, Incorporated. This book was released on 1990 with total page 560 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Investor Protection by : United States. General Accounting Office
Download or read book Securities Investor Protection written by United States. General Accounting Office and published by . This book was released on 1992 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Assessment of Labour Provisions in Trade and Investment Arrangements by : International Labor Office
Download or read book Assessment of Labour Provisions in Trade and Investment Arrangements written by International Labor Office and published by International Labor Office. This book was released on 2016 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt: Nearly half of trade agreements concluded in the past five years included either a labor chapter or labor provision that makes reference to international labor standards and ILO instruments. The evidence so far suggests that labor provisions have been an important tool for raising awareness and improving laws and legislations with respect to workers' rights, increasing stakeholder involvement in negotiation and implementation phases, and developing domestic institutions to better monitor and enforce labor standards. But challenges remain, particularly with respect to sustainability of impacts, coherence, and cooperative efforts. This new report, part of the Studies on Growth with Equity series, gives a full examination of the scope and effectiveness of these labor provisions.
Book Synopsis ESG and Responsible Institutional Investing Around the World: A Critical Review by : Pedro Matos
Download or read book ESG and Responsible Institutional Investing Around the World: A Critical Review written by Pedro Matos and published by CFA Institute Research Foundation. This book was released on 2020-05-29 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt: This survey examines the vibrant academic literature on environmental, social, and governance (ESG) investing. While there is no consensus on the exact list of ESG issues, responsible investors increasingly assess stocks in their portfolios based on nonfinancial data on environmental impact (e.g., carbon emissions), social impact (e.g., employee satisfaction), and governance attributes (e.g., board structure). The objective is to reduce exposure to investments that pose greater ESG risks or to influence companies to become more sustainable. One active area of research at present involves assessing portfolio risk exposure to climate change. This literature review focuses on institutional investors, which have grown in importance such that they have now become the largest holders of shares in public companies globally. Historically, institutional investors tended to concentrate their ESG efforts mostly on corporate governance (the “G” in ESG). These efforts included seeking to eliminate provisions that restrict shareholder rights and enhance managerial power, such as staggered boards, supermajority rules, golden parachutes, and poison pills. Highlights from this section: · There is no consensus on the exact list of ESG issues and their materiality. · The ESG issue that gets the most attention from institutional investors is climate change, in particular their portfolio companies’ exposure to carbon risk and “stranded assets.” · Investors should be positioning themselves for increased regulation, with the regulatory agenda being more ambitious in the European Union than in the United States. Readers might come away from this survey skeptical about the potential for ESG investing to affect positive change. I prefer to characterize the current state of the literature as having a “healthy dose of skepticism,” with much more remaining to be explored. Here, I hope the reader comes away with a call to action. For the industry practitioner, I believe that the investment industry should strive to achieve positive societal goals. CFA Institute provides an exemplary case in its Future of Finance series (www.cfainstitute.org/research/future-finance). For the academic community, I suggest we ramp up research aimed at tackling some of the open questions around the pressing societal goals of ESG investing. I am optimistic that practitioners and academics will identify meaningful ways to better harness the power of global financial markets for addressing the pressing ESG issues facing our society.
Author :United States Government Accountability Office Publisher :Createspace Independent Publishing Platform ISBN 13 :9781982009700 Total Pages :72 pages Book Rating :4.0/5 (97 download)
Book Synopsis Financial Technology by : United States Government Accountability Office
Download or read book Financial Technology written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2017-12-25 with total page 72 pages. Available in PDF, EPUB and Kindle. Book excerpt: FINANCIAL TECHNOLOGY: Information on Subsectors and Regulatory Oversight
Download or read book Global Economic Prospects 2005 written by and published by World Bank Publications. This book was released on 2004 with total page 186 pages. Available in PDF, EPUB and Kindle. Book excerpt: This annual publication analyses the global and national dimensions of the investment climate for developing countries, in terms of the policy and institutional environment. This edition examines the growth of regional trade agreements, which have risen eight-fold in two decades with currently, as much as 40 percent of global trade taking place among countries that have some form of reciprocal regional trade agreement. Issues discussed include: regional trading trends; effects of regional agreements on trade creation, trade facilitation and services, investment, intellectual property rights, and labour mobility; whether the proliferation of agreements poses risks for multilateral trading system, and if so, options for managing them. The report finds that agreements leading to open regionalism (that is, deeper integration of trade as a result of low external tariffs, increased services competition, and efforts to reduce cross-border and customs delays costs) are effective as part of a larger trade strategy to promote growth. Although regional agreements can prove beneficial to member countries, they can have adverse effects on excluded countries, and the lowering of border barriers around the world is crucial to minimising these effects. The completion of the Doha Development Agenda by all WTO countries will reduce the risk of trade diversion associated with regional agreements and will decrease trade losses of countries excluded from agreements.
Book Synopsis The Digital Person by : Daniel J Solove
Download or read book The Digital Person written by Daniel J Solove and published by NYU Press. This book was released on 2004 with total page 295 pages. Available in PDF, EPUB and Kindle. Book excerpt: Daniel Solove presents a startling revelation of how digital dossiers are created, usually without the knowledge of the subject, & argues that we must rethink our understanding of what privacy is & what it means in the digital age before addressing the need to reform the laws that regulate it.
