Rules that set standards for conduct and that carry the force of law.
What are Regulations?
100
Routine examinations of companies by regulators to check for compliance.
What is Monitoring?
100
Rule which governs screening of investment industry personnel.
What is the Gatekeeping Rule?
200
Establishes desired behaviors, including behaviors with respect to regulatory compliance.
What are Policies and procedures?
200
Fines, imprisonment, loss of license, and lifetime ban from industry.
What are disciplinary sanctions?
300
Allocating funds appropriately between suppliers and users of capital.
What is fostering capital formation and economic growth?
300
Explicit regulations that offer clarity and legal certainty to investment industry participants.
What is What is Rules-based?
300
Rule which governs trade date settlement.
What is the Market Standard of Trading Rules?
400
Standard part of employees’ performance reviews and a factor in determining bonuses.
What is adherence to good compliance practices?
400
Catastrophic chain reaction causing serious damage to the economy.
What is contagion?
500
Laws and Regulations + Professional Standards + Ethical Principles + Company Rules.
What is Trust in the Industry?
500
Regulation that seeks to ensure not whether the investment is appropriate for investors, but only whether all material information is disclosed to investors.
What is What is Disclosure-based?
500
Involves moving price of stock to generate a short-term profit.