Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

Securities: International Organization of Securities Commissions' (IOSCO) Objectives and Principles for Securities Regulation. Insurance: International Association of Insurance Supervisors' (IAIS) ...

and focuses on the basic principles of securities regulation and ensures agents comply with state securities laws. Unlike the Series 66, the Series 63 license is not concerned with investment ...

The Uniform Securities Act is a model law created to enhance state-level ... between investors and regulatory bodies helps uphold the principles of the Uniform Securities Act and reinforces ...

Securities Offerings on Practical Law.) The SEC regulates the US securities markets through rulemaking, compliance examinations, investigations, and civil enforcement actions. It can initiate ...