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Oversight Of The Financial Industry Regulatory Authority
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Author :United States. Congress Publisher :Createspace Independent Publishing Platform ISBN 13 :9781976511271 Total Pages :48 pages Book Rating :4.5/5 (112 download)
Book Synopsis Oversight of the Financial Industry Regulatory Authority by : United States. Congress
Download or read book Oversight of the Financial Industry Regulatory Authority written by United States. Congress and published by Createspace Independent Publishing Platform. This book was released on 2017-09-18 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt: Oversight of the Financial Industry Regulatory Authority : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, May 1, 2015.
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages : pages Book Rating :4.:/5 (124 download)
Book Synopsis Oversight of the Financial Industry Regulatory Authority :. by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Download or read book Oversight of the Financial Industry Regulatory Authority :. written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and published by . This book was released on 2015 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment Publisher : ISBN 13 : Total Pages :0 pages Book Rating :4.:/5 (21 download)
Book Synopsis Oversight of the Financial Industry Regulatory Authority by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment
Download or read book Oversight of the Financial Industry Regulatory Authority written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Securities, and Investment and published by . This book was released on 2018 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Regulation by : U.s. Government Accountability Office
Download or read book Securities Regulation written by U.s. Government Accountability Office and published by . This book was released on 2017-08-04 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Why GAO Did This StudySEC oversees FINRA, which is charged with regulatory oversight of all securities broker-dealers conducting business with the public in the United States. In light of recent events in the financial markets, SEC and FINRA have faced questions about their oversight roles. The Dodd-Frank Wall Street Reform and Consumer Protection Act required GAO to study SEC's oversight of national securities associations registered under section 15A of the Securities Exchange Act of 1934, a provision which applies only to FINRA. This report examines (1) how SEC has conducted oversight of FINRA, including FINRA rule proposals and the effectiveness of its rules, and (2) how SEC plans to enhance its oversight of FINRA. To address these objectives, GAO reviewed SEC documentation, policies and procedures for inspections of FINRA and reviews of FINRA rule proposals; reviewed documentation on SEC's plans for enhanced FINRA oversight; and interviewed SEC and FINRA officials.What GAO RecommendsSEC should encourage FINRA to conduct retrospective reviews of its rules and establish a process for examining FINRA's reviews, and SEC should follow all elements of a risk-management framework in developing its future oversight plans. SEC generally agreed with GAO's"
Author :United States Government Accountability Office Publisher :Createspace Independent Publishing Platform ISBN 13 :9781983741609 Total Pages :40 pages Book Rating :4.7/5 (416 download)
Book Synopsis Securities Regulation by : United States Government Accountability Office
Download or read book Securities Regulation written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-01-11 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: SECURITIES REGULATION: Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :41 pages Book Rating :4.:/5 (21 download)
Book Synopsis Oversight of the Financial Industry Regulatory Authority by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Download or read book Oversight of the Financial Industry Regulatory Authority written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and published by . This book was released on 2015 with total page 41 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities regulation by : United States. Government Accountability Office
Download or read book Securities regulation written by United States. Government Accountability Office and published by . This book was released on 2012 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Security Regulation by : Us Government Accountability Office
Download or read book Security Regulation written by Us Government Accountability Office and published by CreateSpace. This book was released on 2013-08-12 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: Congress established SEC in 1934 to enforce the Securities Act of 1933 and the Exchange Act. SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation by overseeing key participants in the securities markets, including SROs, securities broker-dealers, investment advisers, and mutual funds.
Book Synopsis Securities Regulation by : A. Nicole Clowers
Download or read book Securities Regulation written by A. Nicole Clowers and published by . This book was released on 2015-06-05 with total page 44 pages. Available in PDF, EPUB and Kindle. Book excerpt: The securities industry is generally regulated by a combination of federal and industry regulation and oversight. The Financial Industry Regulatory Authority (FINRA), a self-regulatory organization, is responsible for regulating securities firms doing business with the public in the U.S. The Securities and Exchange Commission (SEC) oversees FINRA's operations and programs. This report (1) assesses SEC's implementation of a risk-based framework for overseeing FINRA; (2) reviews SEC oversight activities of FINRA operations; and (3) assesses recent inspections of areas listed in Section 964 of the Dodd-Frank Act, which mandates a triennial review on aspects of SEC's oversight of FINRA. Figures. This is a print on demand report.
Book Synopsis H.R. 4624, the Investment Adviser Oversight Act of 2012 by : United States. Congress. House. Committee on Financial Services
Download or read book H.R. 4624, the Investment Adviser Oversight Act of 2012 written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2013 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Congressional Oversight Panel Special Report on Regulatory Reform by : United States. Congressional Oversight Panel
Download or read book Congressional Oversight Panel Special Report on Regulatory Reform written by United States. Congressional Oversight Panel and published by . This book was released on 2009 with total page 184 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Financial Industry Regulatory Authority by : Hester Peirce
Download or read book The Financial Industry Regulatory Authority written by Hester Peirce and published by . This book was released on 2015 with total page 29 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-dealers in the United States are regulated by the Financial Industry Regulatory Authority (FINRA). Although commonly perceived to be a self-regulator, FINRA is not accountable to the industry in the way a self-regulator would be. Nor is it accountable to the public, Congress, the president, or the courts. FINRA's structure and monopoly status shield it from close oversight. Consequently, an important part of the securities markets is under the control of a regulator with limited accountability. As FINRA seeks to expand its regulatory footprint into areas such as investment adviser regulation, its unique form of regulation warrants reconsideration.
Book Synopsis Financial Regulation and Compliance, + Website by : H. David Kotz
Download or read book Financial Regulation and Compliance, + Website written by H. David Kotz and published by John Wiley & Sons. This book was released on 2015-08-03 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations Publisher : ISBN 13 : Total Pages :332 pages Book Rating :4.:/5 (319 download)
Book Synopsis Oversight of the Credit Rating Agencies Post-Dodd-Frank by : United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations
Download or read book Oversight of the Credit Rating Agencies Post-Dodd-Frank written by United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations and published by . This book was released on 2012 with total page 332 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Institutional Structure of Financial Regulation by : Robin Hui Huang
Download or read book Institutional Structure of Financial Regulation written by Robin Hui Huang and published by Routledge. This book was released on 2014-06-20 with total page 284 pages. Available in PDF, EPUB and Kindle. Book excerpt: In light of on-going global financial crises, the institutional structure of financial regulation is currently a subject of significant academic and practical interest. The financial crisis has called into question the adequacy of financial regulation at the national and supranational levels, and has instigated financial regulatory reforms in major markets overseas. This has included the enactment of the Dodd-Frank Act in the US, and the programme to split the Financial Services Authority in the UK. This book examines the institutional structure reform of financial regulation from a comparative perspective, exploring both fundamental theories and international experiences. The book explores the three main institutional structures of financial regulation in the world; the sectors-based model, adopted in the US, Mainland China and Hong Kong; the twin-peaks model with Australia and the Netherlands as its pioneers; and the single-regulator model as represented by the former Financial Services Authority in the UK and the Financial Services Agency in Japan. The book contains contributions from renowned experts in the field of financial regulation including Douglas Arner, Jeffrey Carmichael, Robin Hui Huang, Dirk Schoenmaker, and Michael Taylor, and will be of interest to students and researchers of banking and finance law, and comparative economics.
Author :The Law The Law Library Publisher :Createspace Independent Publishing Platform ISBN 13 :9781729674390 Total Pages :114 pages Book Rating :4.6/5 (743 download)
Book Synopsis Post-Employment Conflict of Interest Restrictions (Us Government Ethics Office Regulation) (Geo) (2018 Edition) by : The Law The Law Library
Download or read book Post-Employment Conflict of Interest Restrictions (Us Government Ethics Office Regulation) (Geo) (2018 Edition) written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-11-05 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt: Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition) The Law Library presents the complete text of the Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition). Updated as of May 29, 2018 OGE regulations have provided guidance concerning the post-employment conflict of interest restrictions of 18 U.S.C. 207 for Government employees terminating service between July 1, 1979 and December 31, 1990. As a result of amendments to section 207 that became effective January 1, 1991, and subsequently, employees terminating service in the executive branch or in an independent agency (or terminating service from certain high-level Government positions) since that date are subject to substantially revised post-employment restrictions. The purpose of these new regulations is to provide regulatory guidance explaining the scope and content of the statutory restrictions as they apply to employees terminating service on or after January 1, 1991. This final rule would expand the regulatory guidance OGE has previously published concerning the current version of section 207 and make minor modifications to those earlier rulemakings. It would also remove the old obsolete regulations from the Code of Federal Regulations. This book contains: - The complete text of the Post-Employment Conflict of Interest Restrictions (US Government Ethics Office Regulation) (GEO) (2018 Edition) - A table of contents with the page number of each section
Book Synopsis Should Financial Sector Regulators Be Independent? by : Mr.Marc Quintyn
Download or read book Should Financial Sector Regulators Be Independent? written by Mr.Marc Quintyn and published by International Monetary Fund. This book was released on 2004-03-08 with total page 24 pages. Available in PDF, EPUB and Kindle. Book excerpt: In nearly every major financial crisis of the past decade-from East Asia to Russia, Turkey, and Latin America-political interference in financial sector regulation helped make a bad situation worse. Political pressures not only weakened financial regulation, but also hindered regulators and supervisors from taking action against troubled banks. This paper investigates why, to fulfill their mandate to preserve financial sector stability, financial sector regulators and supervisors need to be independent-from the financial services industry as well as from the government-as well as accountable.
