regulation of the securities market
1Securities regulation in the United States — is the field of U.S. law that covers various aspects of transactions and other dealings with securities. It includes both Federal and state level regulation by purely governmental regulatory agencies, most notably the Federal level United States… …
2Regulation AB — was introduced in 2004 by the Securities and Exchanges Commission to regulate registration, offering and reporting of public deals of Asset Backed Securities Background Regulation AB is a comprehensive set of new rules and amendments that address …
3over-the-counter market — Trading in stocks and bonds that does not take place on stock exchanges. Such trading occurs most often in the U.S., where requirements for listing stocks on the exchanges are strict. Schedules of fees for buying and selling securities are not… …
4Bank regulation in the United States — is highly fragmented compared to other G10 countries where most countries have only one bank regulator. In the U.S., banking is regulated at both the federal and state level. Depending on a banking organization s charter type and organizational… …
5Securities Commission (Brazil) — Securities Commission of Brazil Comissão de Valores Mobiliários Agency overview Formed December 1976 Jurisdiction Federative Republic of Brazil Headquarters …
6Unlisted Securities Market — (USM) A now defunct market introduced in 1980 to provide a second tier market for smaller, less mature companies unlikely to apply for full listing. The USM, although initially successful, found its attractiveness severely impeded by its level of …
7Securities research — An example of a bond. Securities analysts may carry out research on bonds, stocks and any other type of security. Securities research is a discipline within the financial services industry. Securities research professionals are known most… …
8Securities Exchange Act of 1934 — The Securities Exchange Act of 1934 is a law governing the secondary trading of securities (stocks, bonds, and debentures). The Act, 48 Stat. 881 (June 6, 1934), codified at usc|15|78a et seq., was a sweeping piece of legislation. The Act and… …
9Regulation D — (also known as Reg D) is a regulation of the U.S. Securities and Exchange Commission (the SEC ), and is also a term for an investment strategy, mostly associated with hedge funds, based upon that regulation. It also affects individual savings and …
10Market Intelligence — (often contracted to MARKINT) is a relatively new intelligence discipline that exploits open source information gathered from global markets. It relies solely on publicly available information such as market prices and ancillary economic and… …
