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Articles 31 - 33 of 33
Full-Text Articles in Securities Law
E Pluribus Unum -- Out Of Many, One: Why The United States Needs A Single Financial Services Agency, Elizabeth F. Brown
E Pluribus Unum -- Out Of Many, One: Why The United States Needs A Single Financial Services Agency, Elizabeth F. Brown
Elizabeth F Brown
The United States needs to consolidate the over 115 existing state and federal agencies that regulate banking, securities and insurance firms and their products and services into a single, federal financial services agency; a U.S. Financial Services Agency (“US FSA”). The US FSA would be able to more effectively regulate the U.S. financial services industry than the existing regulatory regime. The current U.S. financial regulatory regime suffers from a range of problems, including an inability to anticipate and plan for future financial crises, an inability by regulators to quickly adapt to market innovations and developments, inconsistent regulations for financial products …
Derivatives Regulation In The Context Of The Shingle Theory, Allen Madison
Derivatives Regulation In The Context Of The Shingle Theory, Allen Madison
Allen Madison
This article discusses the regulation of derivative financial instruments. It notes that the government has neither come to a conclusion as to the necessity of regulation nor which agency would have jurisdiction. It also suggests that one tool that regulators could use as an enforcement tool is the "shingle" theory. Next, it provides history and analysis of this theory. Finally, it examines the current state of affairs regarding regulation of derivatives.
What Is A Security? -- A Redefinition Based On Eligibility To Participate In The Financial Markets, Scott T. Fitzgibbon
What Is A Security? -- A Redefinition Based On Eligibility To Participate In The Financial Markets, Scott T. Fitzgibbon
Scott T. FitzGibbon
No abstract provided.