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FINRA publishes an annual report detailing its observations from the prior year's examinations in order to provide member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to the Financial Industry Regulatory Authority (FINRA), which writes ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The IOSCO July 1986 Paris Annual Conference was the first to take place outside of the American continents and on that occasion a decision was made to create a permanent General Secretariat for the Organization. [4] One remnant of its early inter-American roots is that IOSCO's "official" languages are English, French, Spanish, and Portuguese.
(Reuters) -A U.S. appeals court threw out a Securities and Exchange Commission rule intended to give investors more transparency into private funds, handing a victory to the nearly $27 trillion ...
Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.
Despite its enormous annual budget of $2.5 billion, 4,800 employees, and vast regulatory powers, the SEC has failed to detect major frauds like Bernie Madoff's Ponzi scheme and Enron's accounting ...
A report from the Harvard Business Review agreed that the mark-to-market accounting is not the direct cause of the financial crisis, but the lack of knowledge related to accounting standards by investors fueled the fire. Most investors at the time assumed that all of banks' assets were appraised at market prices, and that the writing down of ...