Securities and Exchange Commission (SEC) has been trying to address the issue of uninstructed votes cast by brokers in board elections. This issue is a source of conflict between directors and investors. Particular focus is given to New York Stock Exchange (NYSE) rules on broker voting. A ...
As cryptocurrency adoption grows, the SEC’s role is likely to become more defined, with the agency possibly strengthening its influence over the market. However, many advocates believe a new regulatory body dedicated to digital assets could better address the unique challenges of cryptocurrencies, ra...
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3 The 12 AFGI insurers and reinsurers are ACA Financial Guaranty Corp, Ambac FSA), MBIAInsurance Corp., PMI Guranty Co., Radian Asset Assurance, RAM Reinsurance Co., and necessaryto address the situation and avert possible widespread l... AJ Demske - 《J Pediatr Health Care》 被引量: 0...
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The SEC has a broad set of regulatory tools that can be tailored to address cryptocurrencies' unique characteristics and challenges. Here are the types of regulations the SEC could adapt to the crypto market: Registration requirements: It could mandate the registration of cryptocurrency exchanges and...
On June 30, 2010, the SEC issued Rule 206(4)-5, which is meant to address perceived abuses by investment advisers and government officials involving "pay to play." Rule 206(4)-5 applies to all investment advisers that are registered (or required to be registered) with the SEC, and to...