Tag: Financial Regulation
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Financial Regulation
Financial Regulation in International Economic Law In international economic law, financial regulation includes the following legal areas, with coverage in this world legal encyclopedia: li> International Standards Banking Core Principles Insurance Core Principles Standards for Market Actors
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Crowdfunding
Regulation of Crowdfunding in the United States Financial Regulation of Crowdfunding Intermediates in the United States In relation to the crowdfunding intermediary provisions in Title III of the JOBS Act: Crowdfunding issuers. Title III of the U.S. JOBS Act amends Section 4 of the […]
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Crowdfunding
Regulation of Crowdfunding in the United States Financial Regulation of Crowdfunding Intermediates in the United States In relation to the crowdfunding intermediary provisions in Title III of the JOBS Act: Crowdfunding issuers. Title III of the U.S. JOBS Act amends Section 4 of the […]
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Standards for Market Actors
This section provides an overview of standards for market actors within the legal context of Financial Regulation in international economic law, with coverage of Monetary and Financial Regulation (Main Regulatory Areas). Resources Further Reading Rashid Bahar, "Standards for Market […]
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Standards for Market Actors
This section provides an overview of standards for market actors within the legal context of Financial Regulation in international economic law, with coverage of Monetary and Financial Regulation (Main Regulatory Areas). Resources Further Reading Rashid Bahar, "Standards for Market […]
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International Standards
This section provides an overview of international standards within the legal context of Financial Regulation in international economic law, with coverage of Monetary and Financial Regulation (Main Regulatory Areas).
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International Standards
This section provides an overview of international standards within the legal context of Financial Regulation in international economic law, with coverage of Monetary and Financial Regulation (Main Regulatory Areas).
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Public Companies
Public Companies In the United States, public companies are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended, or the Exchange Act, the Sarbanes-Oxley Act of 2002, or the Sarbanes-Oxley Act, the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the Dodd-Frank Act, and the rules and regulations of…
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Brokerage
A commission paid to a licensed foreign freight forwarder by an ocean carrier as an inducement to route cargo aboard the carrier's vessels. This commission usually runs between 1.25 and 2.5 percent of the freight paid to the carrier, although higher commission rates are not uncommon, […]
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Short Sale
Short Sale Short Sale Concept in Financial Law A short sale is the sale of a security that the seller does not own and any sale that is consummated by the delivery of a security borrowed by, or for the account of, the seller. In order to deliver the security to the purchaser, the short…
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Legal Personnel
Legal Personnel Legal Personnel in the United States Liability of Compliance and Legal Personnel at Broker-Dealers under Sections 15(b)(4) and 15(b)(6) of the Exchange Act In relation to the liability that may arise under Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934 in connection with the role and duties of Chief Compliance…
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Issuer
Issuer Issuer in the United States financial law An issuer is an entity whose securities are registered under section 12 of the Exchange Act or that is required to file reports under section 15(d) or that files or has filed a registration statement that has not yet become effective under the Securities Act and that…
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Solicitation
Criminal Law: Inchoate Crimes SolicitationIntroduction to Inchoate Crimes SolicitationThe crime of solicitation involves encouraging, enticing, requesting, or commanding another to commit a crime. The offense is completed at the time the solicitation is made, and it does not requir…
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Solicitation
Criminal Law: Inchoate Crimes SolicitationIntroduction to Inchoate Crimes SolicitationThe crime of solicitation involves encouraging, enticing, requesting, or commanding another to commit a crime. The offense is completed at the time the solicitation is made, and it does not requir…
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Committee on Banking Regulations and Supervisory Practices
Known commonly as the Cooke Committee, a working party established under the auspices of the bank for INTERNATIONAL SETTLEMENTS (read this and related legal terms for further details) in 1975 to seek to remedy inadequaci…