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Lead regulator |
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Lead regulatorA leading self-regulatory organization that over sees compliance with a particular section of the law, such as the NYSE, NYSE, or NYSE.Lead regulator Similar MatchesSelf regulatory organization (SRO)Self regulatory organization (SRO)Organizations that enforce fair, ethical, and efficient practices in the securities and commodity futures industries, including all national securities and commodities exchanges and the NASD. Regulatory PyramidRegulatory PyramidA network of safeguards that surrounds the US securities industry - from individual brokerages all the way up to the US Congress. Regulatory surplusRegulatory surplusThe surplus as measured using regulatory accounting principles (RAP), which may allow the nonmarket valuation of assets or liabilities and which may be materially different from economic surplus. Self Regulatory OrganisationSelf Regulatory OrganisationFollowing the Financial Services Act 1986, SROs were set up to regulate companies dealing in investment business with the objective of investor protection. There are currently three SROs, the Securities and Futures Authority (SFA), the Personal Investment Authority (PIA) and the Investment Management Regulatory Organisation (IMRO) which report to the Financial Services Authority (FSA).All regulatory functions of SROs were taken over by the Financial Services Authority as of December 2001. Regulatory accounting procedures (RAP)Regulatory accounting procedures (RAP)Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold. Further SuggestionsFinancial Intermediaries Managers and Brokers Regulatory AssociationRegulatory pricing risk Regulatory News Service Occupational Pensions Regulatory Authority Investment Management Regulatory Organisation |
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