Securities and Futures Markets: Cross-Border Information Sharing

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DIANE Publishing, 1993 - 76 pages
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Examines international regulatory efforts to improve cross-border information sharing in securities and futures markets. Examines the need to share information, the strengths and weaknesses of different kinds of agreements, the types of information exchanged, and legal and regulatory obstacles to improving the exchange of information.
 

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Page 37 - EC are Belgium, Denmark, France, Germany, Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain, and the United Kingdom.
Page 58 - Exchange (AMEX), the New York Stock Exchange (NYSE), the National Association of Securities Dealers Automated Quotation System (NASDAQ), and the Over the Counter (OTC) market.
Page 16 - Association before the Subcommittee on Telecommunications and Finance House Committee on Energy and Commerce July 11, 1990 Restructuring the American Financial Services System Mr.
Page 71 - COMMODITY FUTURES TRADING COMMISSION 2033 K Street, NW, Washington, DC 20581 (202) 254-6970 December 6, 1990 Wendy L Gramm Chairman Mr.
Page 70 - GAO staff at your convenience to discuss our comments further. If you have any questions regarding this letter, please feel free to telephone me at (202) 272-3000.
Page 27 - ... related securities) until they have completed their participation in the distribution. The purpose of the rule is to prevent participants in a distribution from artificially conditioning the market for the securities in order to facilitate the distribution.
Page 62 - Request" means a request made under this Treaty. Article 2 Scope of Application 1 . The Parties shall provide, in accordance with the provisions of this Treaty, mutual legal assistance in all matters relating to the investigation, prosecution and suppression of offences.
Page 17 - PROBLEMS WITH THE SEC'S ENFORCEMENT OF US SECURITIES LAWS IN CASES INVOLVING SUSPICIOUS TRADES ORIGINATING FROM ABROAD...
Page 34 - Nov. 3, 1955J (2) Any member of the American Stock Exchange, Boston Stock Exchange, Midwest Stock Exchange, New York Stock Exchange, Pacific Coast Stock Exchange...
Page 12 - This report provides the results of our review of the fine collection activities of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and...

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