Search results “Securities regulation rules”
China's securities regulator tightens rules for major share sell-downs
China's securities regulator China Securities Regulatory Commission (CSRC) is tightening the rules for major stock sell-downs by large shareholders. The commission said the new rules aim to prevent large shareholders from reducing their holdings in a chaotic fashion that disturbs market order and dents investor confidence. Subscribe to us on YouTube: https://goo.gl/lP12gA Watch CGTN Live: https://www.youtube.com/watch?v=L2-Aq7f_BwE Download our APP on Apple Store (iOS): https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download our APP on Google Play (Android): https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Facebook: https://www.facebook.com/ChinaGlobalTVNetwork/ Instagram: https://www.instagram.com/cgtn/?hl=zh-cn Twitter: https://twitter.com/CGTNOfficial Pinterest: https://www.pinterest.com/CGTNOfficial/ Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 137 CGTN
RTC stops 'disclosure' in Securities Regulation Code's IRR
The Mandaluyong Regional Trial Court (RTC) has issued a temporary restraining order (TRO) on certain provisions of the Securities Regulation Code's implementing rules and regulations (IRR). Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Visit our website at http://news.abs-cbn.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 641 ABS-CBN News
SEBI Regulations - Fundamentals
This is the most fundamental discussion on Capital Market that helps students to smoothly study SEBI Regulations without any doubts.
Regulation D (SEC)
In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration. Regulation D (or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. Reg D may also refer to an investment strategy, mostly associated with hedge funds, based upon the same regulation. The regulation is found under Title 17 of the Code of Federal Regulations, part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. On July 10th, 2013, the SEC issued new final regulations allowing public advertising and solicitation of Regulation D offers to accredited investors. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 4181 Audiopedia
What the New ESMA Leverage Rules Mean for European Traders
200:1 Leverage for Eurozone Traders: https://www.daytradingforexlive.com/day-trading-forex-lives-recommended-forex-broker/ Learn to trade with the banks: https://www.daytradingforexlive.com/day-trading-forex-education-course/ Roughly a week ago, the ESMA (European Securities & Markets Authority) passed a new regulation that would require forex brokers to limit the leverage they offer to 30:1 MAX! For minor pairs, gold, and major indices the leverage will be 20:1, 10:1 for commodities other than Gold and non-major equity indices, 5:1 on individual equities, and 2:1 on Cryptocurrencies. This video is mainly geared towards the 30:1 and 20:1 leverage limits as that is what will affect forex traders. This video walks through how you can calculate leverage on your own, and in doing so, we illustrate that the new regulation is not as restrictive as you might initially think. Having run a forex education service for the last decade, I see traders get wiped out time and time again because of over-leveraging. While I'm never one for government intervention, a reduction in leverage will no doubt help the majority of struggling retail traders succeed. -Sterling
Views: 12747 Day Trading Forex Live
Securities Law Introduction
Professor Alastair Hudson introduces the Securities Law course. Securities Law Modules: • Module A: The foundations of securities regulation • Module B: Prospectus and transparency regulation of securities • Module C: Liability for misstatements in a prospectus • Module D: The Listing Rules and the Model Code Find out more about this course here: http://www.londoninternational.ac.uk/courses/postgraduate/llm-postgraduate-laws-llm-postgraduate-diploma-postgraduate-certificate#structure Find out more about the course convenor Professor Alastair Hudson: https://socialsciences.exeter.ac.uk/law/staff/hudson/
New ESMA Regulations - The Death of the Retail Trader?
Free Intro to Trading - http://decisivetrading.usefedora.com/p/introduction-to-trading/ Free Decisive Package - https://http://decisivetrading.info/decisivepackage/ The new ESMA (European Securities and Markets Authority) are changing the maximum amount of leverage available to retail traders. This will have a profound impact on beginner traders and will likely make it impossible for some people to start trading at all. In this video I take you through the changes, explain who they will impact and advise you on how to protect yourself from them.
Views: 11486 Decisive Trading
Regulation SCI Rules
Regulation SCI Rules- The SEC adopted Regulation Systems Compliance and Integrity (Regulation SCI) on November 3, 2015 to improve regulatory standards and processes related to technology in the securities business including by financial services firms. In the last Lawcast in this series I was reviewing the specific Regulation SCI rules. I will continue with that review in this Lawcast. Rule 1001 requires that SCI entities establish written policies and procedures designed to ensure that the entity complies with the Securities Exchange Act and the rules and regulations thereunder as well as the entity’s own governing documents. The Rule provides a non-exhaustive list of minimum elements that must be included in such compliance policies and procedures. These elements include: “(i) testing of all SCI systems and any changes to SCI systems prior to implementation; (ii) a system of internal controls over changes to SCI systems; (iii) a plan for assessments of the functionality of SCI systems designed to detect systems compliance issues, including by responsible SCI personnel and by personnel familiar with applicable provisions of the Act and the rules and regulations thereunder and the SCI entity’s rules and governing documents; and (iv) a plan of coordination and communication between regulatory and other personnel of the SCI entity, including by responsible SCI personnel, regarding SCI systems design, changes, testing, and controls designed to detect and prevent systems compliance issues.” Rule 1002 contains the obligations with respect to SCI events, including corrective action, SEC notification and information dissemination. Under the Rule an SCI-delineated person must take the required action upon reasonably confirming that an SCI event has occurred. As such, the SEC requires an SCI entity to have written policies and procedures that “include the criteria for identifying responsible SCI personnel, the designation and documentation of responsible SCI personnel, and escalation procedures to quickly inform responsible SCI personnel of potential SCI events.” Such “responsible SCI personnel” means “for a particular SCI system or indirect SCI system impacted by an SCI event, such senior manager(s) of the SCI entity having responsibility for such system, and their designee(s).” The Rule contains in-depth and detailed discussion of corrective actions, notification requirements and information dissemination requirements. In essence, the SEC must be immediately notified of all SCI events other than de minimis events, although even de minimis events contain recordkeeping requirements and must be included In SCI reports. Until the SCI event is resolved, the SCI entity must keep the SEC regularly updated as to the progress of the investigation and resolution of the event, and must file a report with the SEC once the event is resolved. Subject to certain exceptions, the SCI entity must disseminate information to its members and participants regarding all SCI events. Rule 1003 contains requirements related to material system changes, and SCI reviews. In particular, Rule 1003 requires quarterly reports to the SEC describing completed, ongoing, and planned material systems changes to its SCI systems and security of indirect SCI systems. Rule 1003 also requires a minimum of an annual review of an SCI entity’s compliance with Regulation SCI. Rule 1004 contains requirements related to business continuity and disaster recovery plan testing. As with notification requirements, an SCI entity must designate certain personnel to complete business continuity and disaster recovery plan testing. In particular, the SCI entity must designate those members or participants “that the SCI entity reasonably determines are, taken as a whole, the minimum necessary for the maintenance of fair and orderly markets in the event of the activation of such plans.” Such testing must be completed at least once every 12 months. The recordkeeping and electronic filing requirements of Regulation SCI are laid out in Rules 1005 through 1007.
Restricted by ESMA? Here's How To Trade Over 1:30 Leverage
NOTICE: BlackBull Markets are not impacted by the recent Leverage caps enforced by ESMA. Clients of BlackBull Markets can still access leverage on FX of up to 1:500. The European Securities and Markets Authority (ESMA) has agreed on measures on the provision of contracts for differences (CFDs) and binary options to retail investors in the European Union (EU). 1. Leverage limits on the opening of a position by a retail client from 30:1 to 2:1, which vary according to the volatility of the underlying: · 30:1 for major currency pairs; · 20:1 for non-major currency pairs, gold and major indices; · 10:1 for commodities other than gold and non-major equity indices; · 5:1 for individual equities and other reference values; · 2:1 for cryptocurrencies; 2. A margin close-out rule on a per account basis. This will standardise the percentage of margin (at 50% of minimum required margin) at which providers are required to close out one or more retail client’s open CFDs; 3. Negative balance protection on a per account basis. This will provide an overall guaranteed limit on retail client losses; 4. A restriction on the incentives offered to trade CFDs; and 5. A standardised risk warning, including the percentage of losses on a CFD provider’s retail investor accounts. PRESENTER Anish Lal TWITTER: https://twitter.com/blackbullforex FACEBOOK: http://www.facebook.com/pages/BlackBu... INSTAGRAM https://www.instagram.com/blackbull_m... WEBSITE: http://www.blackbullmarkets.com Risk Warning: Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to trade foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and, therefore, you should not invest money you cannot afford to lose. You should make yourself aware of all the risks associated with foreign exchange trading and seek advice from an independent financial advisor if you have any questions or concerns as to how a loss would affect your lifestyle. #ESMA #Leverage #Regulation
Views: 7538 BlackBull Markets
Regulation SCI, SCI Entities and Rules 1000 Through 1007
Regulation SCI, SCI Entities and Rules 1000 Through 1007- SEC’s recent statements and initiatives on Cybersecurity. The SEC adopted Regulation Systems Compliance and Integrity (Regulation SCI) on November 3, 2015 to improve regulatory standards and processes related to technology in the securities business including by financial services firms. Regulation SCI consists of 7 rules (Rules 1000 through 1007) as follows: (i) Rule 1000 contains definitions, including defining an SCI entity; (ii) Rule 1001 contains the policies and procedures requirements for SCI entities for operational capability, the maintenance of fair and orderly markets and systems compliance; (iii) Rule 1002 contains the obligations of SCI entities when there is an SCI defined event, including corrective measures, SEC notification and public notification; (iv) Rule 1003 contains requirements related to material changes and SCI reviews; (v) Rule 1004 contains requirements related to business continuity and disaster testing; (vi) Rule 1005 contains recordkeeping requirements; (vii) Rule 1006 contains requirements related to electronic filings and submissions; and (viii) Rule 1007 contains requirements for service bureaus. Regulation SCI broadly defines an SCI Entity as “an SCI self-regulatory organization, SCI alternative trading system, plan processor, or exempt clearing agency subject to ARP” and then contains drilled-down definitions within the broad categories. Regulation SCI is meant to encompass and include any entity that is significant in the operation and maintenance of fair and orderly markets. SCI self-regulatory organizations include registered national securities associations (FINRA being the only one), all national securities exchanges, registered clearing agencies (DTC) and the Municipal Securities Rulemaking Board (MSRB). An SCI Alternative Trading System is defined by volume broken down by NMS (National Market Systems) and non-NMS stocks and generally includes an Alternative Trading System with 1% or more of the NMS stocks volume or 5% or more of non-NMS stocks volume. Alternative Trading Systems which trade only municipal securities or corporate debt securities are excluded from the requirements. The OTC Markets is an SCI Entity and has confirmed that it is in compliance with Regulation SCI. Interestingly, broker-dealers are not included as SCI Entities. The SEC reasoned that all broker-dealers are subject to Rule 15c3-5 and other FINRA rules which impose requirements related to the capacity, integrity and security of the broker-dealers’ systems and technology. However, the SEC did note that some broker-dealers are large enough that they could pose a real market risk if their systems were to break down or be infiltrated. The SEC may amend the rules in the future to include these firms. An SCI “plan processor” includes “any self-regulatory organization or securities information processor acting as an exclusive processor in connection with the development, implementation and/or operation of any facility contemplated by an effective national market system plan.” There are currently four plan processors including the CTA Plan, CQS Plan, NASDAQ UTP Plan and OPRA Plan. An “exempt clearing agency subject to ARP” includes “an entity that has received from the Commission an exemption from registration as a clearing agency under Section 17A of the Act, and whose exemption contains conditions that relate to the Commission’s Automation Review Policies, or any Commission regulation that supersedes or replaces such policies.” There is currently only one entity that meets this definition. In addition, Regulation SCI breaks systems down into three categories, including “SCI systems,” “critical SCI systems” and “indirect SCI systems,” meant to encompass systems and processes that are subject to heightened requirements, processes and procedures. “SCI Systems” include trading, clearance and settlement, order routing, market data, market regulation, and market surveillance. In particular, an “SCI System” is defined as “all computer, network, electronic, technical, automated, or similar systems of, or operated by or on behalf of, an SCI entity that, with respect to securities, directly support trading, clearance and settlement, order routing, market data, market regulation, or market surveillance.”
SEC Rule 506 of Regulation D - What this means for upcoming ICO's & Regulations Within USA
The SEC updated Rule 506 of Regulation D on Nov 27th, 2017. Granted this video is a little old, I think it has been overlooked within the community. This is amazing information for any new or ongoing ICO within the United States. We could see a brand new kind of KYC come about where these projects start requesting your bank statements or verify your financial well being and ensure that you are an accredited investor for the project at hand. Here are some key points from this ruling that was just recently updated: 1. Companies relying on the Rule 506 exemptions can raise an unlimited amount of money. 2. The company must be available to answer questions by prospective purchasers. 3. Companies that comply with the requirements of Rule 506(b) or (c) do not have to register their offering of securities with the SEC 4. File a Form D (includes the names and addresses of the company’s promoters, executive officers and directors, and some details about the offering, but contains little other information about the company. ) You can find the original article here: https://www.sec.gov/fast-answers/answers-rule506htm.html ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 643 Crypto News
Regulation A – Types of Securities
Regulation A – Types of Securities- Regulation A limits securities that may be issued under the rules to equity securities, including common and preferred stock and options, warrants and other rights convertible into equity securities, debt securities and debt securities convertible or exchangeable into equity securities, including guarantees. If convertible securities or warrants are offered that may be exchanged or exercised within one year of the offering statement qualification (or at the option of the issuer), the underlying securities must also be qualified and the value of such securities must be included in the aggregate offering value. Accordingly, the underlying securities will be included in determining the offering limits of $20 million and $50 million, respectively. Asset-backed securities are not allowed to be offered in a Regulation A+ offering. REIT’s and other real estate-based entities may use Regulation A+ and provide information similar to that required by a Form S-11 registration statement. Continuous or delayed offerings (a form of a shelf offering) will be allowed if (i) they commence within two days of the offering statement qualification date, (ii) are made on a continuous basis, (iii) will continue for a period of in excess of thirty days following the offering statement qualification date, and (iv) at the time of qualification are reasonably expected to be completed within two years of the qualification date. Issuers that are current in their Tier 2 reporting requirements may make continuous or delayed offerings for up to three years following qualification of the offering statement. Moreover, in the event a new qualification statement is filed for a new Regulation A+ offering, unsold securities from a prior qualification may be included, thus carrying those unsold securities forward for an additional three-year period. Continuous or delayed offerings are available for all securities qualified in the offering, including securities underlying convertible securities, securities offered by an affiliate or other selling security holder, and securities pledged as collateral. In the next LawCast in this series I will talk about Testing the Waters, and general solicitation and advertising in Regulation A offerings. #LegalAndComplianceLLC
China releases new rules for foreign investment in the securities sector
China has released new regulations on foreign investment in the securities sector, as the government takes steps to further open its market. The rules now allow foreign investors to take a controlling stake in joint-venture securities firms, and will gradually expand the business scope of such firms. Subscribe to us on YouTube: https://goo.gl/lP12gA Download our APP on Apple Store (iOS): https://itunes.apple.com/us/app/cctvnews-app/id922456579?l=zh&ls=1&mt=8 Download our APP on Google Play (Android): https://play.google.com/store/apps/details?id=com.imib.cctv Follow us on: Facebook: https://www.facebook.com/ChinaGlobalTVNetwork/ Instagram: https://www.instagram.com/cgtn/?hl=zh-cn Twitter: https://twitter.com/CGTNOfficial Pinterest: https://www.pinterest.com/CGTNOfficial/ Tumblr: http://cctvnews.tumblr.com/ Weibo: http://weibo.com/cctvnewsbeijing
Views: 446 CGTN
Important Developments in U.S. and Canadian Securities Regulation
Robert Lando discusses the impact of the new Canadian prospectus marketing rules on U.S. underwriters, changes in the U.S. private placement rules, and new market practices that will evolve throughout 2014.
Bizwatch - Brokers and Traders Opposed SEC IRR on Securities Regulation Code
For our first issue this week, the feud between the country’s brokers and traders has not abated. The Philippine Association of Brokers and Dealers Inc. filed a petition with the courts to stop the implementation of certain provisions of the 2015 implementing rules and regulations of the Securities Regulation Code.
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 5506 Way Back
Securities law (New syllabus) Revision of SCRA, 1956
(for lectures in pen drive WhatsApp on 8554883071, or call on 9975171932)
Views: 1476 Shubhamm Sukhlecha
Regulation D Securities Exemptions
http://thebusinessprofessor.com/regulation-d-securities-exemption/ Regulation D Securities Registration Exemptions
Views: 780 Jason Mance Gordon
Crowdfunding Laws, Rules and Regulations
https://www.manatt.com/Brian-S-Korn Brian Korn is a corporate and securities attorney at the law firm Manatt, Phelps & Phillips, LLP, and has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He has been published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation. He is the author of several articles on capital raising and investor liquidity, and has several clients in the peer-to-peer lending space. Brian is the author of “The Trouble with Crowdfunding” published in Forbes, as well as the Forbes article announcing the SEC’s crowdfunding rules proposal. Prior to joining Pepper, Brian was Head of Equity Capital Markets and Syndicate Compliance at Barclays and was Senior Vice President and Assistant General Counsel for Citigroup Global Markets Inc.Brian is an honors graduate of the University of California at Berkeley and the Northwestern University School of Law.
Views: 536 Fintech World
Securities Contracts & Regulation Act, 1956
Securities Contracts (Regulation) Act, 1956. The Securities Contracts (Regulation) Act, 1956 also known as SCRA is an Act of the Parliament of India enacted to prevent undesirable exchanges in securities and to control the working of the stock exchange in India. It came into force on February 20, 1957.
Security Token Essentials : SEC compliance rules
Hi, I am Dave Young from Cryptovest with another informational video on Security Tokens and what comes next. Before we go looking deeper into the many parts of the upcoming security market that looks to explode, to understand the players, the markets, the trends, it is quite essential to understand the basic SEC compliance rules and classifications . It is easy to take the next new platform’s whitepaper, telling you how easy they will make compliance but to understand the market, you need to know the underlying rules or the safe harbors. What are the four categories that a Security Token can choose from ? Regulation D - making the offering exempt from registration Regulation S - excluding the offering from US Regulations A+ - get registered with SEC for up to $ 50 million Regulation Crowd Fund - which is capped at $ 1.07 million And if you want you could have a hybrid of D + S for US and other markets. Regulation D - 504 or 506c - allowing you to talk to US investors without SEC registration and approval 504 - gives you exemption from SEC registration as long as you keep the annual figure raised below $ 5 million. So not too relevant for the new Securities Market on a grand scale. Investors will also be locked in for a minimum of 1 year. 506c - an exemption if you only deal with accredited investors which in simple terms means high value/high earning individuals worth over a million dollars. Again, investors are locked in for a minimum of 1 year. Even though the above might get SEC off your back, don’t forget that any state authorities might also have their own specific rules and come gunning for you, even if you are not registered there. If you take a look at the recent black comedy with Kraken Exchange calling New York State authorities a jilted lover, as they were still chasing them even after they deregistered and moved away, you can get a feel of the problems of zealous state regulators. Regulation S - don’t deal with Americans! If you have invested in ICOs, you are probably familiar with this, with the stringent KYC procedures to back it up but also you need to be showing active blocking of channels reaching US, ip filters etc. Of course if you chosing this option for Security Tokens you would need to pick a jurisdiction with good regulation or no-one is going to gamble their money just to get those elusive advantages. Regulation A+ - long procedure up to $ 50 million This is a lengthy procedure that requires a two year IPO-level CPA audit, many ICOs have previously applied for this but not many have achieved it. If achieved the tokens are not locked down for a year period. At present Prometheum are applying for approval for a $ 50 million ICO to launch a ICO trading platform and Gab are applying for permission to run a STO under the framework for a social network offering, also in the system is dexCoin (a decentralized competitor to uber), Mandala, a digital asset exchange, So hopefully you understand the basics a bit more and what a minefield dealing with regulations can be compared to the looser format of ICOs that has encouraged rapid growth, some explosive returns and many scams.
Views: 59 Cryptovest
Regulation 505 Securities Exemption
http://thebusinessprofessor.com/rule-505-securities-exemption/ Regulation 505 Securities Exemption
Views: 119 Jason Mance Gordon
Citizen Primer: Securities Regulation
Please follow us on Twitter @CitizenPrimer and subscribe! Citizen Primer plans to release six short videos explaining government functions that are poorly understood by the public. The topics that will be explored are Social Security, Medicare, The Affordable Care Act, securities regulation, the deficit/debt, and the progressive tax code. These topics were chosen as they are all poorly understood by the public and are commonly addressed in the public sphere through misinformation and hyperbole. The project intends to explain these concepts in an unbiased way, beginning a conversation that is critical to citizenship in the new millennium. These short pieces are meant for anyone that has an interest in domestic US politics, though they are targeted at low-information voters. This project will remind voters (and future voters) of the relevance of the political process to their lives and give them a more complete knowledge of these processes. We hope the pieces also act as a model for effecting change in their world, encouraging others to create similar pieces as a form of social advocacy.
SEC Declares ICO Tokens & Offerings "Securities" And What It Means For You!
Hello WrenchGang, I am able to be reached by email which can be found on our "About" Page on Youtube located at the link below https://www.youtube.com/cryptonews/about I can also be contacted by all members of our Patreon via direct message on Patreon. If you would like to help donate to keep this show rolling you help by signing up for our Patreon at patreon.com/mattbeasley Or you can contribute to our effort to provide engaging discussions and crypto advice by donating Crypto to one of the addresses below. Bitcoin 377tYv4dHqo2gXajcjirjuXgQvPbWhv443 Ethereum 0x9b1956a6743e5e5383A012C4615443391E11BC08 Litecoin MAnasq344SrCa4M7Bx3zKVSiedzj8cJfT8 Bitcoin Cash qpjtfxc7wrud87alt809ntfxsdhyl3d9tqq58f7hxr Due to some issues behind the scenes and in order to protect my well being and my families well being I have been forced to disable comments and chat on our Youtube videos. We have also disabled our Twitter account. This will allow our broadcasts to stay on topic and not be interrupted by people who do not contribute to our conversation in a positive manner. I have done as much as I can to ward off the situation but it has reached a point now where I cannot let it continue. Hopefully in the near future we will be able to resume our conversations in the chat but for right now that is not possible. I appreciate each and everyone of you that has supported the show since day one and continues to support. Your not in this alone I am right here with you guys all the time. Note*** I am not a financial advisor and by no means should even be consider an expert in how to manage your money. I do these shows to have open conversations about the shape of the crypto markets and sometimes share my own personal opinion on how the markets might behave in the future.
Views: 3553 The Big Beesy
Initial Coin Offering (ICO) Security vs Utility Issuance Vincent Molinari - CEO of Liquid M. Capital
http://www.liquidmarketsgroup.com/ Recorded LIVE at the New York Stock Exchange. SCN Corporate Connect's Jane Kings sits down with Vincent Molinari - CEO of Liquid M. Capital, to discuss cryptocurrency and ICO's. Contact Mr. Molinari at [email protected] Liquid M Capital, LLC, is a financial technology company and broker dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) Liquid M Capital is the operators of an alternative trading system (“ATS”) that plans to use Blockchain Technology as part of the operation of the ATS. Liquid M Capital is able to facilitate the primary issuance of ICOs as a securities. The approval was a result of Liquid Markets Group’s (the parent of Liquid M Capital) advocacy and petition for rule change to the SEC in late 2015 to amend regulation ATS for unregistered securities. Liquid M Capital has achieved an approval set for a robust alternative trading system, which can transact in the full stack of unregistered and private securities. Alongside their ATS approval, Liquid M Capital was granted a Quotation Bureau which permits the publishing of real-time mark-to-market quotations of private unregistered securities. In addition, the Quotation Bureau has the ability to take indications of interest for securities purchase and sale on a 24/7 basis.
U.S. securities regulator grants Wall Street EU research rules reprieve
WASHINGTON (Reuters) - The U. S. Securities and Exchange Commission (SEC) said on Thursday it would grant Wall Street a 30 month-grace period that will allow them to comply with sweeping new European Union investment research rules without overhauling their operations.The reprieve comes ahead of Europe’s MiFID II trading rules, which will overhaul how investment managers pay for research provided by banks beginning in January.Under MiFID II, brokers will have to charge separately for research, instead of bundling the fees together with other services, such as trading.The new rules aim to eliminate conflicts of interest by giving investors greater transparency over how much they pay banks for discrete services.EU regulators say this should incentivize brokers to produce better quality research and allow investors to execute trades with banks that offer the best price.Some global investment banks risk losing up to $240 million (£188 million) in business by 2020 under the new rules, according to financial consultancy Quinlan & Associates.Many global U. S. brokers servicing European clients will need to comply with the EU rules, but are technically barred from doing so due to a quirk of U.S. federal securities law. This sparked concerns that U. S. brokers would have to overhaul their operations to continue serving European clients, or EU investors would lose access to valuable U.S. research. On Thursday, the SEC issued three so-called ‘no action relief’ letters that will allow U.S. market participants to comply with the rules in a way that is consistent with U.S. law, the regulator said. The letters were drawn up following discussion with the European Union and will allow the SEC more time to assess how, if at all, it can reconcile its rules with MiFID.“Today’s no-action relief was designed. to reduce confusion and operational difficulties that might arise in the transition to MiFID II’s research provisions,” SEC Chairman Jay Clayton said in a statement.“These steps should preserve investor access to research in the near term, during which the Commission can assess the need for any further action.”Because U. S. and EU firms are the biggest participants in each others’ markets, MiFID has caused a slew of cross-border compliance issues for U.S. firms and trading platforms across a range of asset classes. Earlier this month, the U.S. Commodity Futures Trading Commission said it had reached a preliminary deal with the European Union to recognize each others’ derivatives rules under MiFID II.
Views: 0 Breaking News
What the New ESMA Regulations Mean For You ❗❗
What are the new ESMA rules? PLEASE LIKE THIS VIDEO IF YOU FOUND IT USEFUL. IT HELPS A LOT. ESMA restrictions come down from the European Securities and Markets Authority, which issued a set of directives that will come in effect towards the end of July. What has exactly happened? ESMA has decided to completely overhaul the CFDs, spread betting, forex and binary options industry in the European Union. These restrictions/limitations will impact you if you trade with an European based broker even if you live in a country outside the European Union (like Singapore or India). The restrictions will impact CFDs, spreadbets and spot forex. As your trading strategy may be impacted, we have compiled a list of what will be changing: - Margin increases - Leverage decreases - a limit on the amount of leverage that can be offered to retail traders (30:1 for major currency pairs, 20:1 for non-major currency pairs, gold and major indices; 10:1 for commodities other than gold and non-major equity indices; 5:1 for individual equities and other reference values; 2:1 for cryptocurrencies) - Margin close-out level - a 50% margin close-out rule on a per account basis. - Negative balance protection on a per account basis. - Preventing the use of incentives by a CFD provider. - A firm specific risk warning delivered in a standardised way - Binary Options will not be permitted. (prohibition on marketing, distribution, and sale of binary options). Europe and ESMA seem to have gone overboard with the restrictions. According to the MiFIR legislative framework, these new regulations can be introduced on a three-monthly basis, with a review for possible extension prior to the end of the current time period. What will happen after these 3 months? We can only wait – if after the 3 months a compromise is reached and the restrictions are say, 50% less then nobody would notice... Part 1: What the New ESMA Regulations Mean For You ❗❗ https://www.youtube.com/watch?v=A-DxFgjA50Y Part 2: ESMA Toughens Margin Rules on CFDs & Forex Trading 🚨 https://www.youtube.com/watch?v=ufRPOhSsaMo
Views: 3915 UKspreadbetting
2017 Crowdfunding Law, Rules, Regulations & SEC's  Compliance
http://crowdfundbeat.com/ Jonathan Frutkin, Sara Hanks, Mark Roderick, Brian Korn, @National Press Club CrowdFund Beat Media International is an online source of news, information, events and resources for crowdfunding. We e-publish latest news and expert view related to the crowdfunding industry in the USA, Canada, UK, Italy, Germany, France, Holland.
Views: 815 Fintech World
2010 FRC Economics and Securities Regulation, Chester Spatt
Chester Spatt is the Pamela R. and Kenneth B. Dunn Professor of Finance at Carnegie Mellon University. He was Chief Economist of the SEC from 2004-2007.
Views: 230 notredamebusiness
Regulation A+ - Sale and Resale of Equity Securities
Securities LawCast©- Legal & Compliance, LLC- Regulation A+ - Sale and Resale of Equity Securities On March 25, 2015, the SEC released final rules amending Regulation A. The new rules are commonly referred to as Regulation A+. Tier I of Regulation A+, which does not preempt state law, allows for a raise of up to $20 million in any 12-month period and Tier II, which does preempt state law, allows a raise of up to $50 million in any 12-month period. Issuers may elect to proceed under either Tier I or Tier II for offerings up to $20 million. Tier II offerings require additional disclosures and ongoing reporting requirements. I have previously discussed eligibility requirements and the availability of marketing and advertising for both Tier 1 and Tier II offerings. Today I am touching on the types of securities that are eligible for a Regulation A+ offering. Regulation A+ is available for the sale or resale of equity securities, including: • Common and preferred stock; • Stock options • Warrants • Convertible debt • Any other rights convertible into equity securities; • Dividends on preferred or other equity securities payable in an equity security • Pledged or guaranteed equity securities If convertible securities or warrants are offered that may be converted or exchanged within one year of the offering statement qualification, or at any time at the sole option of the issuer, the underlying securities must also be qualified in the offering and included in the aggregate offering value. Accordingly, the underlying securities will be included in determining the offering limits of $20 million and $50 million respectively. Laura Anthony, Esq. Founding Partner Legal & Compliance LLC. 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: Toll Free: (800) 341-2684 FREE Local: (561) 514-0936 Email: [email protected] #LawCast
Series 7 Exam Session 2 - Securities Laws
Session 2 in our Series 7 exam videos. Provides an overview of the major securities laws covered in the exam. Get more answers at our forum for finance and accounting at passingscoreforum.com
Views: 56402 Passing Score
C A final Law by N K Singh  Securities Contract Regulation Act, 1956
C A final Law by N K Singh Securities Contract Regulation Act, 1956 Applicable for both CA final new course and old course students. To subscribe full course visit us at corporatestudies.org or call at 9818248595.
Views: 8972 N.K Singh Law
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public The Philippines Securities and Exchange Commission (SEC) has published a set of draft rules for regulating Initial Coin Offerings (ICOs) for public review, according to an official statement August 2. In the SEC’s Memorandum Circular, the agency stipulates that any company registered in the Philippines looking to run an ICO, or any ICO selling tokens to Filipinos, must submit an “initial assessment request” to the Commission to determine whether or not their token is a security. The regulator sp... --------------------- Don't Forget Subscribe: https://www.youtube.com/channel/UCz6hJLxgBvZsaa3_IUt5IyQ?sub_confirmation=1
Views: 1 P News
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public
Philippines Securities Regulator Issues Draft of ICO Rules, Requests Feedback From Public The Philippines Securities and Exchange Commission (SEC) has published a set of draft rules for regulating Initial Coin Offerings (ICOs) for public review, according to an official statement August 2. In the SEC’s Memorandum Circular, the agency stipulates that any company registered in the Philippines looking to run an ICO, or any ICO selling tokens to Filipinos, must submit an “initial assessment request” to the Commission to determine whether or not their token is a security. The regulator sp... --------------------- Don't Forget Subscribe: https://www.youtube.com/channel/UCz6hJLxgBvZsaa3_IUt5IyQ?sub_confirmation=1
Views: 0 P News
Court conducts hearing over TRO on new securities code IRR
The Mandaluyong Regional Trial Court (RTC) is expected to rule if the temporary restraining order (TRO) on certain controversial provisions of the Securities Regulation Code’s implementing rules and regulations (IRR) will be made permanent. Subscribe to the ABS-CBN News channel! - http://bit.ly/TheABSCBNNews Visit our website at http://news.abs-cbn.com Facebook: https://www.facebook.com/abscbnNEWS Twitter: https://twitter.com/abscbnnews
Views: 595 ABS-CBN News
History of the SEC Disclosure Effectiveness Initiative
History of the SEC Disclosure Effectiveness Initiative- Today I am giving a brief history of the SEC Disclosure Effectiveness Initiative. In early December 2015 the FAST Act was passed into law. The FAST Act required the SEC to adopt or amend rules to: (i) allow issuers to include a summary page to Form 10-K; and (ii) scale or eliminate duplicative, antiquated or unnecessary requirements for emerging-growth companies, accelerated filers, smaller reporting companies and other smaller issuers in Regulation S-K. The current Regulation S-K and S-X Amendments are part of this initiative. In addition, the SEC was required to conduct a study within one year on all Regulation S-K disclosure requirements to determine how best to amend and modernize the rules to reduce costs and burdens while still providing all material information. That report was issued on November 23, 2016. Prior to that time the SEC and various market participants have been talking about needed changes. In March 2015 the American Bar Association submitted its second comment letter to the SEC making recommendations for changes to Regulation S-K and in September 2015 the SEC Advisory Committee on Small and Emerging Companies met and finalized its recommendation to the SEC regarding changes to the disclosure requirements for smaller publicly traded companies. As we have talked about in this LawCast series, on April 15, 2016, the SEC issued a the concept release and request for public comment on sweeping changes to certain business and financial disclosure requirements followed by proposed rule changes issued on July 13, 2016. As part of the same initiative, on June 27, 2016, the SEC issued proposed amendments to the definition of “Small Reporting Company”. The SEC also previously issued a release related to disclosure requirements for entities other than the reporting company itself, including subsidiaries, acquired businesses, issuers of guaranteed securities and affiliates. Both of these items are slated for action in this year’s SEC regulatory agenda. On August 25, 2016, the SEC requested public comment on possible changes to the disclosure requirements in Subpart 400 of Regulation S-K. Subpart 400 encompasses disclosures related to management, certain security holders and corporate governance. On March 1, 2017, the SEC passed final rule amendments to Item 601 of Regulation S-K to require hyperlinks to exhibits in filings made with the SEC. The amendments require any company filing registration statements or reports with the SEC to include a hyperlink to all exhibits listed on the exhibit list. In addition, because ASCII cannot support hyperlinks, the amendment also requires that all exhibits be filed in HTML format. The new Rule went into effect on September 1, 2017, however non-accelerated filers and smaller reporting companies that submit filings in ASCII may delay compliance through September 1, 2018. Finally, as covered in this LawCast series, On October 11, 2017, the SEC published proposed rule amendments to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies.
Draft Published for Public Review
🔎 Sources Philippines’ ICO Regulations: 📝 https://www.coindesk.com/philippines-proposed-ico-rules-presume-all-tokens-are-securities/ 📝 https://cointelegraph.com/news/philippines-securities-regulator-issues-draft-of-ico-rules-requests-feedback-from-public ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💬 Need help or have any questions? Feel free to leave them down in the comments below! ❤️ Stay ahead of the curve & SUBSCRIBE http://www.cryptogrinders.com/subscribe Hit the "🔔" icon, after subscribing, to get notifications as soon as we upload a new video or start a live stream ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 🔥 Telegram CG ⏱ Market Watch: https://t.me/cgmarketwatch CG Open Community: https://t.me/cryptogrinders ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 📣 Social & Website Facebook: https://fb.com/cryptogrindersofficial Facebook Group: https://www.fb.com/groups/cryptogrinders Twitter: https://twitter.com/CryptoGrinders Instagram: https://www.instagram.com/cryptogrinders Medium: https://medium.com/@cryptogrinders Website: http://www.cryptogrinders.com ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💱 Recommended Exchanges Huobi http://www.cryptogrinders.com/huobi Bitmex (10% rebate) http://cryptogrinders.com/bitmex Coinbase http://www.cryptogrinders.com/coinbase Binance http://www.cryptogrinders.com/binance ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● For consulting or other business inquiries, please feel free to reach us at [email protected] ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● 💬 Disclaimer The information discussed on CryptoGrinders Website, YouTube and other social media channels including but not limited to Twitter, Instagram, facebook, is not financial advice. This information is for educational, informational and entertainment purposes only. Any information and advice on investments are thoughts and our opinions only. We are not responsible for any investments you make. Cryptocurrencies such as Ripple XRP, Bitcoin BTC, Litecoin & Ethereum are high risk investments, so please do your own research and advice from a professional license financial advisor before acting on any information in our videos. ●▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬▬● #Bitcoin #Ethereum #Cryptocurrency #Crypto #Altcoins #DigitalAssets
Views: 203 CryptoGrinders
Buyback of Shares under Companies Act 2013 explained by CS Shantanu Pethe
Please watch: "A Must watch video for CA CS or CMA students | Study with coach Episode 1" https://www.youtube.com/watch?v=303mUlEiGjw --~-- A FREE Short Video By Prof. Shantanu Pethe (CACSCMA COACH) On Buy Back of Shares (Company Law / Companies Act 2013) • Buy Back (Sec – 68) • Conditions for Buyback • Disclosure • Completion • Mode • Declaration • No Further Issue • Register • Return • Penalty • Transfer to CRR (Sec – 69) • Prohibition (Sec - 70)
Preparing for competition ??? watch brief video of SEBI. SOME MORE HELPFUL VIDEOS (MUST WATCH) : PANCHAYATI RAJ AND MUNICIPALITY IN INDIA https://youtu.be/-IbnQkJBH8c :UNIFIED PAYMENT INTERFACE || BHARAT INTERFACE FOR MONEY https://youtu.be/AcK1JpLwS9I : NATIONAL AUTOMATED CLEARING HOUSE (NACH) || NATIONAL FINANCIAL SWITCH (NFS) https://youtu.be/EQmu0ER-sz8 : NATIONAL PAYMENTS CORPORATION OF INDIA https://youtu.be/rksejwre_Q0 : THE INDIA MYANMAR LAND BORDER CROSSING AGREEMENT || TRILATERAL HIGHWAY || KALADAN TRANSPORT PROJECT https://youtu.be/CSCgDWXk9nc : LEMOA, COMCASA AND BECA https://youtu.be/lLdouE_EqdU : QUEEN ELIZABETH APPROVES BREXIT LAW.(ASSENT TO PM THERESA MAY) https://youtu.be/n8PdX9Gy9RY : PRESIDENT OF INDIA & GOVERNOR OF STATES https://youtu.be/qnkctRCEqhE : FINANCE COMMISSION OF INDIA https://youtu.be/BH3La6yFM00 : SHORT TRICK FOR SQUARE ROOT AND CUBE ROOT https://youtu.be/7KeHZZL2T08 : SHANGHAI COOPERATION ORGANISATION https://youtu.be/Js66O3v_sTA : COLLEGIUM SYSTEM https://youtu.be/MrwuNb56lcc : ATTORNEY GENERAL OF INDIA https://youtu.be/xFJt7S3LC9k : WORLD TRADE ORGANIZATION https://youtu.be/xXuYcKCIe5k : OPEC https://youtu.be/BMcjl4hYxJA : PLANNING IN INDIA (FIVE YEAR PLAN ) https://youtu.be/sDAiOFiwYrY : SCHEDULES OF INDIAN CONSTITUTION https://youtu.be/PFxX_BtUzjI : INSURANCE REGULATORY AND DEVELOPMENT AUTHORITY OF INDIA (IRDAI) https://youtu.be/xojTrXb4qTg : NOBEL PRIZE https://youtu.be/QWllevoNX_s : SEBI (SECURITIES AND EXCHANGE BOARD OF INDIA) https://youtu.be/kWOmKgmRGtE : LETS DO CALCULATION EASY https://youtu.be/1e3ZrKtfr9U : EFT, NEFT, RTGS, IMPS? https://youtu.be/FuxSISy919o : NITI AYOG https://youtu.be/GfDH28FAytk : G4 G7 G20 COUNTRIES https://youtu.be/RnmUjgBQzT8 : SAARC AND BIMSTEC https://youtu.be/60hoPSd_KOU : FDI & FII https://youtu.be/6It4mvxmcmo : INDUS WATER TREATY https://youtu.be/KqeI5mqc7ww : RBI AND ITS FUNCTION https://youtu.be/rY6nbTxzLDs : BRICS https://youtu.be/1iKe8bCcw88 : CPEC https://youtu.be/tbjm48jv8rg : ISRO https://youtu.be/cVD9WblyYWs : MTCR https://youtu.be/wq3JxLrvoZM : NPT & NSG https://youtu.be/0QMnJHePZCE : NITI FORUM FOR NORTH EAST. https://youtu.be/V8TQ4lN7k6w : UNITED NATIONS (PART-1) https://youtu.be/NptpOG93IIY : UNITED NATIONS (PART-2) https://youtu.be/5cRrkTyQd4Q : HOW INDIAN RUPEE VALUE IS DETERMINED? https://youtu.be/K0oNbyjdEMc : WORLD BODIES (G4,G7,G20 NATIONS) https://youtu.be/RnmUjgBQzT8
Views: 11864 Deep Talks
European Securities Regulator to Report on ICO Rules by 2019
Thanks for watching❤! SUBSCRIBE to receive more videos for free. European Securities Regulator to Report on ICO Rules by 2019 ▶ About copyright: If someone has a problem with any upload, please contact us and we will delete the video immediately. Thank you for your cooperation. If there is a problem related to content copyright, images... please contact us to resolve it. We will work together quickly and in the spirit of best cooperation. ▶ Make sure you do not re-upload the video (the video takes a lot of time). Any violation will result in termination of your account. ▶ Thank you and best regards
Views: 0 Coin News
Financial Investing and Securities Regulation: Investing in Stocks - Education (1998)
The SEC has been criticized "for being too 'tentative and fearful' in confronting wrongdoing on Wall Street", and for doing "an especially poor job of holding executives accountable." Christopher Cox, the former SEC chairman, has recognized the organization's multiple failures in relation to the Bernard Madoff fraud.[29] Starting with an investigation in 1992 into a Madoff feeder fund that only invested with Madoff, and which, according to the SEC, promised "curiously steady" returns, the SEC did not investigate indications that something was amiss in Madoff's investment firm.[30] The SEC has been accused of missing numerous red flags and ignoring tips on Madoff's alleged fraud.[31] As a result, Cox said that an investigation would ensue into "all staff contact and relationships with the Madoff family and firm, and their impact, if any, on decisions by staff regarding the firm".[32] SEC Assistant Director of the Office of Compliance Investigations Eric Swanson had met Madoff's niece, Shana Madoff, when Swanson was conducting an SEC examination of whether Bernard Madoff was running a Ponzi scheme because she was the firm's compliance attorney. The investigation was closed, and Swanson subsequently left the SEC, and married Shana Madoff.[33] Approximately 45 per cent of institutional investors thought that better oversight by the SEC could have prevented the Madoff fraud.[34] Harry Markopolos complained to the SEC's Boston office in 2000, telling the SEC staff they should investigate Madoff because it was impossible to legally make the profits Madoff claimed using the investment strategies that he said he used.[35] A similar failure occurred in the case of Allen Stanford, who sold fake certificates of deposit to tens of thousands of people, many of them working-class retirees. In 1997, the SEC's own examiners spotted the fraud and warned about it. But the Enforcement division would not pursue Stanford, despite repeated warnings by SEC examiners over the years.[36] After the Madoff fraud emerged, the SEC finally took action against Stanford in 2009. In June 2010, the SEC settled a wrongful termination lawsuit with former SEC enforcement lawyer Gary J. Aguirre, who was terminated in September 2005 following his attempt to subpoena Wall Street figure John J. Mack in an insider trading case involving hedge fund Pequot Capital Management;[37] Mary Jo White, who was at the time representing Morgan Stanley later nominated as chair of the SEC, was involved in this case.[38] While the insider case was dropped at the time, a month prior to the SEC's settlement with Aguirre the SEC filed charges against Pequot.[37] The Senate released a report in August 2007 detailing the issue and calling for reform of the SEC.[39] Others have criticized the SEC for taking an overly rule-based and enforcement-focused approach to regulation, rather than an approach that emphasizes industry-wide safety and learning and thus ensures the reliability of the national securities trading system. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. This may be handled by either a government or non-government organization. Financial regulation has also influenced the structure of banking sectors, by decreasing borrowing costs and increasing the variety of financial products available. In most cases, financial regulatory authorities regulate all financial activities. But in some cases, there are specific authorities to regulate each sector of the finance industry, mainly banking, securities, insurance and pensions markets, but in some cases also commodities, futures, forwards, etc. For example, in Australia, the Australian Prudential Regulation Authority (APRA) supervises banks and insurers, while the Australian Securities and Investments Commission (ASIC) is responsible for enforcing financial services and corporations laws. Sometimes more than one institution regulates and supervises the banking market, normally because, apart from regulatory authorities, central banks also regulate the banking industry. For example, in the USA banking is regulated by a lot of regulators, such as the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the National Credit Union Administration, the Office of Thrift Supervision, as well as regulators at the state level. https://en.wikipedia.org/wiki/Financial_regulation
Views: 76 Way Back
My 7 Rules for Intraday Trading | HINDI
Rules for Intraday Trading are key to success in the stock market. Each trader has his/her own set of rules. There is nothing right or nothing wrong. You can set the rules for Intraday Trading that suits you the best. A lot of viewers requested me to share my Rules for Intraday Trading. In this video, i share 7 rules that i strictly follow in my intraday trading. These rules are key to my success in stock market. I observed that whenever i break any rule, i am punished in the stock market. One of the critical rules is that No trade is also a trade. It is not necessary that you should trade on daily basis. If i don't find perfect trade setup then i don't take any position. To summarize, Rules for Intraday Trading should be followed at any cost whatever it may come then only you can make a profit in the stock market. If you liked this video, You can "Subscribe" to my YouTube Channel. The link is as follows https://goo.gl/nsh0Oh By subscribing, You can daily watch a new Educational and Informative video in your own Hindi language. For more such interesting and informative content, join me at: Website: http://www.nitinbhatia.in/ T: http://twitter.com/nitinbhatia121 G+: https://plus.google.com/+NitinBhatia #NitinBhatia
Views: 193960 Nitin Bhatia
China's securities regulator suspends stock circuit breaker rule
中 서킷브레이커 도입 나흘만에 잠정 중단 China's securities regulator is suspending a stock market circuit breaker mechanism after heavy losses triggered an automatic shutdown for the second time in just three days. The Shanghai and Shenzhen stock exchanges say the change takes effect today. The regulator says it hopes the move will stabilize markets. On Thursday,... the Chinese stock market was only open for 25 minutes,... giving China its shortest trading day in a quarter of a century. Visit ‘Arirang News’ Official Pages Facebook(NEWS): http://www.facebook.com/newsarirang Homepage: http://www.arirang.com Facebook: http://www.facebook.com/arirangtv Twitter: http://twitter.com/arirangworld Instagram: http://instagram.com/arirangworld
Ep. #544- SEC Rules Tokens Could Be Securities / Russian Airline Using Ether / ETH & ZEC Atms
►🚀10% Off Your Early-Bird Anarchapulco Conference Tickets Before They Sell Out: Enter Promo Code "crypt0" https://anarchapulco.com/?ref=crypt0 ►🚀Discussing Ethereum Inflation Rate Proposal: https://youtu.be/CI13gU5GmAg 🚩Join The Crypt0's News Group: https://www.facebook.com/groups/crypt0snews 👍 Thank You Very Much For Watching! 😃 Please Remember To Like & Subscribe! ►🚀Become A Patron or Sponsor: https://www.patreon.com/crypt0snews ►🌐Find Us on Steemit (Decentralized Social Media Blockchain): https://goo.gl/K3pQD4 ►🕹Crypt0's Live Streaming Channel: https://goo.gl/xRgnzs 👕👚Grab Some Ethereum Shirts: ►Deep Space Diamond Tee Shirt http://amzn.to/2tUfwkn ►Prism Rainbow Light T Shirt http://amzn.to/2t19DoD ►💎Donate Ether and Ethereum-Based (ERC-20) Tokens 0x3124Dcd240b330945896b0cdfa8dD20ed400704c ►💎Donate Bitcoin 17nFpuYFBxjtGbXgoMbyFGFHemkC5ayz6D ►💎Donate Using Paypal https://goo.gl/7m1X4Z ►Purchase The Audio-Only Version Of This Video: https://goo.gl/TsXTuL 📔___RECOMMENDED READING ►Ethereum: Blockchains, Digital Assets, Smart Contracts, DAOs http://amzn.to/2t015ik ►The Singularity Is Near: When Humans Transcend Biology http://amzn.to/2rHXGjQ ►Physics of the Future: How Science Will Shape Human Destiny and Our Daily Lives by the Year 2100 http://amzn.to/2tUaEfa ►The Creature From Jekyll Island http://amzn.to/2sWZLfa ►Think and Grow Rich - Napoleon Hill: http://amzn.to/2t1nHOT ►📺Introduction to Cryptocurrency Playlist: https://goo.gl/YZTwvc ►🔗Learn More About Blockchain (Deutche, Please Translate): https://goo.gl/492XVJ 🔑__A MUST HAVE__ ►Ledger Nano S (Bitcoin+Ethereum+More Hardware Wallet): https://goo.gl/wZUVES ►Hardware Wallet Superstore (5$ Off) https://goo.gl/ftZL3w ►✏️Easily Create Your Own Website (10% Off Weebly): https://goo.gl/ZqJvue ►✅Exchange Cryptocurrency At The Best Rate: https://goo.gl/q5FNoJ 💻FOLLOW US HERE: ►Instagram: https://goo.gl/vDRvgK ►Twitter: https://goo.gl/bR9gA8 ►Snapchat: minamarie0012 ►Crypt0's News Official Site: https://goo.gl/mnWvPL -~-~~-~~~-~~-~- Please watch: "Cryptocurrency- An Introduction: Featuring Elle & Crypt0! (Basics, Tips, Resources, & Much More!)" https://www.youtube.com/watch?v=h9B52U6tsvo -~-~~-~~~-~~-~-
Views: 7075 Crypt0

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