Proposed Rule Changes Of Self Regulatory Organizations Us Securities And Exchange Commission Regulation Sec 2018 Edition
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Proposed Rule Changes of Self Regulatory Organizations Us Securities and Exchange Commission Regulation Sec 2018 Edition
Author | : The Law Library |
Publsiher | : Independently Published |
Total Pages | : 40 |
Release | : 2019-01-25 |
Genre | : Law |
ISBN | : 1795115629 |
Download Proposed Rule Changes of Self Regulatory Organizations Us Securities and Exchange Commission Regulation Sec 2018 Edition Book in PDF, Epub and Kindle
The Law Library presents the complete text of the Proposed Rule Changes of Self-Regulatory Organizations (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting rule amendments to require Self-Regulatory Organizations ("SROs") that submit proposed rule changes pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934 ("Act") to file these rule changes electronically. In addition, the Commission is adopting rule amendments to require SROs to post all such proposed rule changes on their Web sites. Together, the amendments are designed to expand the electronic filing by SROs of proposed rule changes, making it more efficient and cost effective, and to harmonize the process of filings made under Section 19(b)(7)(A) with that for filings made by SROs under Section 19(b)(1) of the Act. This ebook contains: - The complete text of the Proposed Rule Changes of Self-Regulatory Organizations (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Securities Industry Study Self regulation in the securities industry
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publsiher | : Unknown |
Total Pages | : 352 |
Release | : 1971 |
Genre | : Brokers |
ISBN | : LOC:00073939586 |
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SEC Docket
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 135 |
Release | : 1997 |
Genre | : Securities |
ISBN | : UIUC:30112037865836 |
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The Emerald Handbook on Cryptoassets
Author | : H. Kent Baker,Hugo Benedetti,Ehsan Nikbakht,Sean Stein Smith |
Publsiher | : Emerald Group Publishing |
Total Pages | : 423 |
Release | : 2023-01-16 |
Genre | : Business & Economics |
ISBN | : 9781804553206 |
Download The Emerald Handbook on Cryptoassets Book in PDF, Epub and Kindle
Bitcoin’s introduction as the first cryptoasset in 2009 ushered in a new era, generating much interest, excitement, and growth. A cryptoasset is a digital asset using blockchain technology to regulate the generation of new units and verify and secure transactions.
Technology in Financial Markets
Author | : Marco Dell'Erba |
Publsiher | : Oxford University Press |
Total Pages | : 465 |
Release | : 2023-09-28 |
Genre | : Law |
ISBN | : 9780198873617 |
Download Technology in Financial Markets Book in PDF, Epub and Kindle
This book develops a dynamic perspective on the study of technology as a disruptive force and its relationship to financial regulation and the law. It identifies the interconnections that characterise technology-driven transformations, involving commercial practices, capital markets, corporate-governance, central banking, and financial networks.
Securities and Exchange Commission
Author | : United States Government Accountability Office |
Publsiher | : Createspace Independent Publishing Platform |
Total Pages | : 74 |
Release | : 2017-09-18 |
Genre | : Electronic Book |
ISBN | : 1976385121 |
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Self-regulatory organizations (SRO) are exchanges and associations that operate and govern the markets, and that are subject to oversight by the Securities and Exchange Commission (SEC). Among other things, SROs monitor the markets, investigate and discipline members involved in improper trading, and make referrals to SEC regarding suspicious trades by nonmembers. For industry self-regulation to function effectively, SEC must ensure that SROs are fulfilling their regulatory responsibilities. This report (1) discusses the structure of SEC's inspection program for SROs, (2) evaluates certain aspects of SEC's inspection program, and (3) describes the SRO referral process and evaluates SEC's information system for receiving SRO referrals. To address these objectives, GAO reviewed SEC inspection workpapers, analyzed SEC data on SRO referrals and related investigations, and interviewed SEC and SRO officials.
Federal Register
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 196 |
Release | : 2014 |
Genre | : Delegated legislation |
ISBN | : UCR:31210024752477 |
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Document Drafting Handbook
Author | : Gladys Q. Ramey,Barbara Suhre,Ernie Sowada |
Publsiher | : Unknown |
Total Pages | : 112 |
Release | : 1991 |
Genre | : Administrative law |
ISBN | : UCR:31210024761478 |
Download Document Drafting Handbook Book in PDF, Epub and Kindle