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#1 28-03-2017 11:44:17

Date d'inscription: 06-03-2017
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facilitate capital formation.

Victorino Out Of Game 4 With Lower Back Tightness - RealGM Wiretap
Shane Victorino was not in the lineup for the Boston Red Sox in Game 4 of the World Series due to lower back tightness.

Daniel Nava started in right field and was second in the lineup Roger Clemens Jersey , while Jonny Gomes started in left field and hit fifth.

Could Rangers Make Play For Tanaka - RealGM Wiretap

Masahiro Tanaka will be pitching in the Major Leagues this coming season and some believe the Texas Rangers could make a play for his services.

Texas will be considered long shots, but can't be counted out.

"Club officials had indicated earlier they intended to pursue Tanaka if he was posted. Even with a $130 million obligation to Shin-Soo Choo pending a physical, the Rangers have nothing to lose by talking to Tanaka," writes Evan Grant.

The SEC Issues Statement on the Registration Statement Process Brenda Hamilton
Submitted 2014-01-05 18:24:59 On July 31, 2013, The Securities and Exchange Commission announced the issuance of Commissioner Elisse B. Walter’s statement, ”The Commission’s Registration Process: How to Better Administer an Ounce of Prevention”. The release is a reminder of the importance of preventive action by the SEC and the securities industry at the registration statement stage to nip securities violations in the bud. This release applies to the registration statement phase of a going public transaction as well as the registration phase applicable to market participants.

The SEC’s statement is based upon the premise that the first contact it has with an issuer is when the issuer seeks to offer securities on a registration statement filed with the SEC.
Registration Statement Process l The SEC’s First Shot at Preventing Fraud

The registration statement process is also the SEC’s first chance to assess regulated securities market participants including broker dealers, investment advisers Roberto Osuna Jersey , municipal advisors, exchanges, alternative trading systems, clearing agencies, ratings agencies, securities information processors and transfer agents. Walter notes that it is at the registration stage that the SEC can institute proceedings to block the registration of entities if they do not meet the requirements of the securities laws and so prevent future violations.

The SEC’s Statement

The Commission’s Registration Process: How to Better Administer an Ounce of Prevention

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

July 31, 2013

“A stitch in time saves nine.”

“An ounce of prevention is worth a pound of cure.”

Throughout history, people have understood the value of taking early action. Most of us agree that the best way to deal with potential problems is to handle them when they are nascent Roberto Alomar Jersey , or even before they arise.

Yet there is a reason why proverbs such as the ones above have survived hundreds of years, and it is not just that we agree with the sentiment. It is because we need the reminder. Simply put, people have a hard time expending a lot of effort on issues that are not immediate, and preventative measures, almost by definition, address issues that lie further down the road, that are probabilities rather than certainties. This statement is a reminder of the importance of early action and an entreaty to the Commission and the securities industry community that they not put off until tomorrow what they can do today.

In securities regulation, the first interaction the Commission has with the entities regulated under the securities laws is when such entities apply to register with the Commission. In 2011 Paul Molitor Jersey , when the Commission was proposing a registration regime for securities based swap intermediaries, I advocated for – and the Commission committed to – the publication of a concept release that would provide a comprehensive review of the Commission’s registration program.[1] I urged that we undertake this review in part because, as I have stated before, I believe that retrospective reviews of rules by agencies is generally a good idea to ensure that regulations and programs are achieving their intended purpose. But I believe that the Commission’s registration program is particularly in need of a comprehensive review to see how we can strengthen the registration process, which in turn will strengthen the soundness of registrants and thus protect investors, promote fair and efficient markets, and facilitate capital formation.

The registration process is the Commission’s first opportunity to assess regulated market participants – the broker dealers, investment advisers Mat Latos Jersey , municipal advisors, exchanges, alternative trading systems, clearing agencies, ratings agencies, securities information processors and transfer agents – all of the entities that make the securities markets function. It is the Commission’s first opportunity to take a close look at those entities — their business plans, their managements, their financial resources Marcus Stroman Jersey , their operations, and their history. It is the Commission’s first opportunity to determine whether such entities are capable of running their businesses, and to do so in a way that complies with the law and protects investors. It is the Commission’s first opportunity to engage in a dialogue with prospective registrants’ managements regarding their operational risks, in order to help mitigate those risks. And it is the Commission’s first opportunity to institute proceedings to disapprove the registratio.

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