Commentary: The Perils of Principle-Based Regulation March 24, 2009 By Danielle D’Angelo of the Nelson Law Firm In recent years, the SEC has been making a move toward more “principles-based” regulation, in which regulatory guidance provides broad compliance principles and leaves regulated firms to figure out how to apply those principles to their own [...]
Rules- vs. Principle-Based Regulation ?
April 6th, 2009 · No Comments · Markets
Tags: principles·regulation·rules
Senate Bill Would Regulate OTC Derivatives and Credit Default Swaps
January 23rd, 2009 · 2 Comments · Exchanges, Markets
SATURDAY, JANUARY 17, 2009 Senate Bill Would Regulate OTC Derivatives and Credit Default Swaps Jim Hamilton A bill introduced by Senator Tom Harkin would bring all OTC financial transactions and credit default swaps currently traded without federal oversight onto regulated exchanges. The Derivatives Trading Integrity Act, S. 272, would establish stronger standards of transparency and [...]
Tags: derivatives·OTC·regulation·swaps