The SEC/CFTC Jurisdiction and Margin: Joint Hearings Before the Subcommittee on Securities and the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, Second Session, on Regulatory Fragmentation and Related Issues in the Securities and Futures Markets, March 29, July 11, 12, and 24, 1990U.S. Government Printing Office, 1991 - 647 páginas |
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Administration's proposal agency agricultural believe bill Board Breeden CalPERS Capital Markets Competition cash market CFTC CFTC's Chicago Mercantile Exchange Commodity Exchange Act Commodity Futures Trading Congress coordination corporations EAGLETON equity markets exclusivity clause Federal Reserve financial futures financial markets futures contracts futures exchanges futures industry Futures Trading Commission going Gramm hearing index arbitrage index futures markets Index Participations individual investors innovation instruments investment investor confidence issue legislation leverage liquidity major market disruptions margin levels margin requirements margins on stock market break market liquidity market participants market volatility October October 13 oversight percent problem program trading prudential question regulatory structure risk Secretary BRADY securities markets Senator BOND Senator DIXON Senator DODD Senator HEINZ Senator SARBANES Senator SHELBY single regulator statement stock and stock stock index futures stock market stock options Subcommittee testimony Thank Tom Eagleton Treasury Urban Affairs York Stock Exchange
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Página 81 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 59 - US Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 TESTIMONY OF RICHARD C. BREEDEN, CHAIRMAN US SECURITIES AND EXCHANGE COMMISSION CONCERNING...
Página 55 - ... to protect interstate commerce, the national credit, the Federal taxing power, to protect and make more effective the national banking system and Federal Reserve System, and to insure the maintenance of fair and honest markets in such transactions...
Página 159 - Japan, for example, regulation of the futures markets is split among the Ministry of Finance, the Ministry of International Trade and Industry, and the Ministry of Agriculture, Forestry and Fisheries.
Página 63 - ... all other goods and articles, except onions as provided in Public Law 85-839, and all services, rights, and interests in which contracts for future delivery are presently or in the future dealt in...
Página 45 - Futures Trading Commission (CFTC) or the Securities and Exchange Commission (SEC) . On the broader issue of consolidating jurisdiction for stocks and stock index futures (or all financial futures) in one agency, there are good arguments for and against such a consolidation and, accordingly, differences of views on whether such consolidation would, on balance, be beneficial. We believe some changes to the existing regulatory system are necessary to avoid the prospect that...
Página 442 - He agreed with our macroeconomic analysis: [S]tock prices finally reached levels which stretched to incredulity expectations of rising real earnings and falling discount factors. Something had to snap. If it didn't happen in October, it would have happened soon thereafter. The immediate cause of the break was incidental. The market plunge was an accident waiting to happen.
Página 1 - OF THE COMMITTEE ON LABOR AND HUMAN RESOURCES, Washington, DC. The subcommittee met, pursuant to notice, at 9:40 am, in room SD-430, Dirksen Senate Office Building, Senator Christopher J.
Página 400 - My point is this: with the globalization of financial markets, other countries have provided us all the regulatory competition we need. We can no longer afford jurisdictional conflicts that stifle innovation at home and drive important business overseas.
Página 95 - When such board of trade demonstrates that transactions for future delivery in the commodity for which designation as a contract market is sought will not be contrary to the public interest.