Broker–dealer registrationRule 15a-6 currentlyProposed Rule 15a-6 amendmentsSEC mutual recognition effortsAccess by exchangesAccess by broker–dealersDisclosure requirementsExemptive processEnhanced enforcement MOU and supervisory MOUOther aspects of the FrameworkScope   Regulatory arbitrageScope of market participantsScope of investors   Limits on scope of market participants under the FrameworkSEC efforts to prevent ‘Regulatory Arbitrage’   Expand mutual recognition efforts to include non-US issuersEnhanced enforcement protectionsUse all available tools—SIFMA/IIF FrameworkBenefits of a Framework approach    相似文献   

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Teaching without authority     
Hin-Yan Liu 《The Law teacher》2013,47(2):146-164
This article seeks to examine the roles played by authority within the classroom in the legal education context and its potential impact on the models of pedagogical practice. Among the pertinent factors fuelling the changing demographics of the law student body is the perceived attraction of practising law in the United Kingdom which increases the popularity of graduate conversion routes into the profession both by qualified legal practitioners from other jurisdictions and by mature students with experience in other areas. This raises a number of potential difficulties for junior law teachers in so far as this changing student body demographic is capable of challenging the teacher's real or perceived authority in the classroom which was hitherto considered a crucial tool to the educator. This article discusses the effects of the closing gap of knowledge and experience between the teacher and the student body and how the adoption of different models of pedagogy may alleviate certain difficulties that arise, perhaps to the extent of transforming this weakness into strength. In the end, however, whether to use different pedagogical models to compensate for a lack of relative authority in the classroom may hinge upon whether legal training should primarily be academically oriented or more akin to training for the practice of a trade, raising questions regarding the appropriate form and function of legal education.  相似文献   

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Overstepping police authority     
Howard Cohen 《Criminal justice ethics》2013,32(2):52-60

Bernard Harcourt, Language of the Gun: Youth, Crime, and Public Policy Chicago: University of Chicago Press, 2006, xiii + 278 pp.  相似文献   

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Delegations of authority and organization--FDA. Final rule     
《Federal register》1998,63(72):18314-18317
The Food and Drug Administration (FDA) is amending the regulations for delegations of authority and organization to set forth the current organizational structure of the agency as well as the current addresses for headquarters and field offices. This action is necessary to ensure the continued accuracy of the regulations.  相似文献   

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Delegations of authority and organization--FDA. Final rule     
《Federal register》1993,58(61):17091-17093
The Food and Drug Administration (FDA) is revising the regulations to set forth the current organizational structure of the agency as well as the current addresses for headquarters and field offices.  相似文献   

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《Federal register》1993,58(224):61816-61843
This rule implements section 1865(a) of the Social Security Act, as amended by sections 2345 and 2346 of the Deficit Reduction Act of 1984 and section 6019 of the Omnibus Budget Reconciliation Act of 1989. The amendments expand the types of providers and suppliers of services that we may consider to meet conditions of participation or certification, nursing home requirements, or conditions for coverage by virtue of their accreditation by a national accreditation program; these providers and suppliers are also subject to validation surveys. The rule also extends confidentiality to accreditation surveys, other than home health agency surveys, done by accreditation programs in addition to the Joint Commission on Accreditation of Healthcare Organizations, except that we may disclose survey and related information to the extent that such information relates to an enforcement action we take on the basis of accreditation survey findings. The rule also provides for: the release to, and use by, HCFA of all accreditation surveys and other relevant information even if a provider or supplier is not subject to a validation survey; the removing of deemed status of a facility based on a validation survey, an accreditation survey, or other information related to either; and appeal procedures for denied or withdrawn approval.  相似文献   

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The first 150 words of the full text of this article appear below. Key points
  • In regulating cross-border capital markets transactions,regulators are employing either an exemptive approach, or aunilateral or mutual recognition approach. The exemptive approachallows market participants wherever located to transact businessin the host countries without complying with local requirements.The recognition approach is limited to a particular market,but is more expansive in terms of access to host country investors.In regulating cross-border transactions, the SEC has traditionallyrelied on the exemptive approach, and has restricted participationto only the largest, most sophisticated US investors. Recently,it has moved to a mutual recognition approach with its agreementwith Australia, which allows a broader range of US investorsto conduct cross-border transactions with Australian exchangesand broker–dealers relying almost entirely on the adequacyof the Australian regulatory system. However, both its exemptiveapproach and mutual recognition approach deal only with secondarymarket transactions, not participation in offerings.
  • While. . . [Full Text of this Article]
 
   1. Introduction    2. Differences between exemption and recognition    3. SEC's cross-border regulatory efforts: Rule 15a-6 and mutual recognition    4. Limits to the SEC's exemptive and recognition efforts    5. Issues raised by the SEC's approach    6. Need for a Framework    7. Conclusion
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