A self-regulatory organization ensuring integrity in the U.S. futures and derivatives markets.
Exploring the role of the Office of Thrift Supervision and its funny quirks
The Ontario Securities Commission is the largest securities regulator in Canada, tasked with administering and enforcing the province's securities laws.
Exploring the practice of options backdating: a shortcut that can lead to a long detour.
The Over-the-Counter (OTC) Market: A Decentralized Hub for Unlisted Securities
A private investment fund is an exclusive investment company not soliciting from retail investors.
An overview of the PCAOB, its purpose, functions, and significance in the auditing of publicly traded companies.
The financial term RIC explained in a humorous yet insightful manner.
Regulatory Capture: When Agencies Play Favourites
Revenue Cap Regulation: Limiting Monopoly Earnings With a Smile
A deep dive into the S&L crisis that shook American finance, with a dash of humour!
Schedule 13D is a form filed with the SEC that reports beneficial ownership of significant shares.
The guardian of the securities market in India, keeping fraudsters at bay so investors can sleep like babies.
A closer look at the SEC: protector of investors and overseer of securities markets.
A Self-Regulatory Organization (SRO) is a non-governmental entity with the power to create and enforce industry regulations and standards.
Exploring the Unseen World of Nonbank Financial Companies
A simulation technique to test financial resilience and risk management.
The Tier 1 leverage ratio measures a bank's core capital against its total assets.
An unauthorized insurer is an illegitimate entity that sells insurance without proper regulatory approval.
Understanding the Uniform Securities Act and its implications for state securities regulation.
A guide to the Universal Market Integrity Rules in Canada and their significance in trading practices.
