Comparing European and U.S. Securities Regulations
qThe paper compares the EU and US securities regulations, and specifically MiFID with the corresponding US regulations. It primarily focuses on the regulatory and supervisory framework, trading venues, and the provision of investment services. The paper argues that the architecture and some of the rules regarding securities markets are different in the two regions, but the objectives and some of the outcomes are similar. It looks at the regulatory frameworks, the scope and objectives of securities regulations, the rules implementing the different objectives, and draws some crisis-related lessons. The primary audience of this study is professionals, government officials and scholars working in the field of securities regulations.qAdditional organizational requirements where a firm produces and disseminates investment research (5) aquot;Public appearanceaquot; ... or the writing of a print media article, in which a research analyst makes a recommendation or offers an opinion concerning an equity security. ... other than as market makers acting in good faith and in the ordinary course of market making or in the execution of an unsolicited anbsp;...
| Title | : | Comparing European and U.S. Securities Regulations |
| Author | : | Tanja Bokovi?, Caroline Cerruti, Michel Noël |
| Publisher | : | World Bank Publications - 2010 |
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