An irreverent Wall Street Blog
by Bill Singer

The UK Junks Its FSA, When Will We Junk The SEC

June 19, 2010

Top Story

The UK Junks Its FSA, When Will We Junk The SEC  

Jun 18, 2010 9:42 AM, By Bill Singer

The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this....

READ THE FULL ARTICLE AT: http://registeredrep.com/securities_law/uk_junks_fsa_what_about_sec_0618/

Re-read Bill Singer's June 2009 Forbes article "Obama's Titanic Regulatory Overhaul" for some fascinating context: http://www.forbes.com/2009/06/18/bill-singer-obama-intelligent-investing-regulate-banks.html

 

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo U5 Fraud OBA Promissory Note Guest Blog Email U4 Guest Blogger BrokerAndBroker Merrill Lynch Aegis Frumento Wire Fraud EFL UBS Morgan Stanley Elderly CRD Forbes Defamation FBI Suitability Statutory Disqualification PST Citigroup Ponzi ALJ Borrowing Whistleblower Rule 3270 DOJ BrokerCheck Supervision Bank Outside Business Activity OIP IRS Form U4 Willful Felony BrokeAndBroker NAC SDNY Expenses OHO Pro Se Wrongful Termination Wachovia Supreme Court Ameriprise IRA Rule 2080 Mail Fraud Wife Insider Trading WSP Husband Discretion Rule 8210 Conversion Forgery CCO Checks Dodd Frank RIA Rule 1122 Business Expenses NASD Form U5 Bankruptcy Raymond James Punitive Damages Settlement Discovery Employment Tuesday Madoff Rule 3240 Estate Tax Rule 3040 Rule 2010 Willfulness JP Morgan Private Securities Transaction Credit Card Frumento LPL Small Firm NYSE Outside Business Activities Bar Power of Attorney Annuities 2Cir Commissions Indictment Wall Street Real Estate Edward Jones Impersonation Facebook InSecurities Bank of America Rule 3280 Street Legal Promissory Notes Margin ETF Spouse Corrective Action Statement Tax Lien Exam Tax Liens Mortgage SRO Beneficiary ATM Offer of Settlement Injunction Trust Wire Schwab Case In Point Stephen Kohn Antitrust Securities Industry Commentator Complaint Options Test Insurance ARS Schapiro Annuity Away Account Signature Appeal Rule 2510 CFTC T&P VA Trustee Due Diligence Barclays Loan Rule 12206 Spouses Misdemeanor Initial Decision Employee Forgivable Loan NSF Goldman Sachs Lien Remand Signatures Securities Fraud HFT Conspiracy RBC OTR Unauthorized Discretion Deutsche Bank POA NASAA Cease And Desist Mandatory Arbitration Great Recession NASDAQ Blockchain Eligibility Rule Money Laundering Chase Fidelity DCCir Bonus Trump PCAOB Sanctions Liens Flash Crash E*Trade Rule 3010 Dissent Undisclosed Settlement Credit Cards email Compliance LOA Huffington Post Burris Continuing Education Crypto Rule 4511 Stay Rule 4530 Failure to Supervise Solicitation TRO Hacking Rule 3050 Lehman Brothers Identity Theft ACQ Disclosure Hacker Cryptocurrency Bharara MSSB Scottrade Broker Protocol RRBDLAW.com Deceased Variable Annuity Gallagher Unfair Competition OWB Unsuitability Fiduciary Divorce Registered Rep Magazine FINRA Arbitration Annual Compliance Questionnaire Sexist Letter of Authorization Willfully Wedbush Board brokeandbroker Reg SP Apple employment Explained Decision Retirement Stockbrokers Unauthorized Trading Customer Audit Discrimination Spoofing Malware Jurisdiction Motion to Dismiss Forex JPMorgan Reimbursement Website Rule 12805 Self Regulation Customer Complaint Variable Annuities Will Lucia Net Capital Retaliation Social Media Prison LIBOR Wey 2nd Circuit Internet jobs Second Circuit Vacatur RMBS Lehman arbitration Personal Expenses Away Accounts Elder Abuse FINOP BrokeAndBroker Bill Singer Severance Disgorgement Solicited Sexism Registration Private Placement BrokeandBroker REIT Telephone Trading Platform Plea Hedge Fund IC3 Newman Charles Schwab RRBDlaw.com Commission Imposter Motion to Vacate Time And Price Rule 12200 Confidential Information Unsolicited Postponement Private Securities Transactions MetLife Indemnification Judgments Hilton Weiner Stifel Bonds Bitcoin Loans Bureau of Prisons BOP China Brummer 9Cir 10Cir FOREX BrokeAndBroker.com Blog Zipper Arbitraiton Auction Rate Securities Rule 2150 Lawyer Widow Dakota Securities Stifel Nicolaus Cheating Examination Unjust Enrichment MC-400 WSPs Rakoff bill singer Protocol Rule 3110 CNBC Testimony Fees Piwowar Morgan Keegan Rule 2111 Sanction Guidelines NYAG Statute of Limitations Check Kiting Waiver Suspension IPO Crowdfunding TD Ameritrade JOBS Act Marijuana FNMA FAA ADA CE OSHA DOL Debit Card Compensation Botkin Emails Mutual Funds Joshua Brown Knight PNC Obstruction of Justice Puerto Rico Public Interest Bandimere Appointments Clause Cannabis SAC CPA Rule 2081 Rule 13805 Raiding Passcode Rule 9552 Medicare Non Solicitation Elder Fraud Affiliate ING EIA Unsuitable Dementia Wire Transfer Board of Governors Article V Oppenheimer AML Confirm Hurry Pennystock Reg S-P Due Process Gold Conflict Check Series 7 Wine MF Global Morgan Stanely Restaurant Confidential Rule 13200 Reg D CEO Customer Information Executor Rule 12504 CRS Regulation SP Class Action TSSB Sales Assistant PN Credit Suisse Charge Inability to Pay Shah Gilani Whistleblowing Embezzlement OIG TOD Woody Allen Bear Stearns Rosenthal Recruiting Ketchum Churning USERRA Bloomberg Stanford Counterclaim Aleynikov Affinity Fraud Phishing High Frequency Trading Khuzami Banc of America Written Supervisory Procedures Casino expungement Pennystocks Membership Continuance NPR Rule 4513 Leveraged ETF Bid Rigging Consent Order Statutory Disqualification Committee Standing Commodities Fraud Smith Barney Information Failure To Supervise Tortious Interference Form ADV Circuit Court HSBC IM Hearing Rule 3030 Trade Secrets Mother Side Bar Deferred Compensation Unauthorized Practice of Law Corzine Motion to Confirm Aguilar Mutual Fund Joint Account Manifest Disregard Marketplace McDuff Ride the Thunder ACH Kokesh Vietnam Marines Self Regulatory Organization Subpoena Marine Corps Rule 2210 SunTrust Teleconference PAQ Margin Call Feigenbaum Vault Eligibility Linde Murphy Probate White Moon Day Trading Termination Charity David Sobel Funds TCR Employment Agreement Broke And Broker Corruption Kon WB-APP Whitman Concentration Government Accountability Project Yesenia Guitron Accounting Johnny Burris Guitron 6th Circuit Bank Fraud Chief Compliance Officer Small Firm Governor Outside Account Finder\'s Fee Layering Star Wars Medical Condition Laptop Federal Reserve Statement of Corrective Action Parking 401k Unregistered Morgan Stanley Smith Barney Disability Obstruction Slander Private Placements Testing Penson Poteroba Online Thain Fifth Amendment ESOP Red Flags Elder Law Robert Cook Over Concentration Talman Harris Death RICO Electronic Communications Reverse Life Insurance Rule 9216 BrokeAndbroker Sarbanes Oxley 40 Act BD Trading Wanger Timban Stop Loss SIFMA Google Motion Kiting WaMu 9/11 Investor Alert Rule 12212 FCI Beaumont Backstage Wall Street Schneiderman Lincoln Financial Guest Bloggers Scottsdale EDNY FCI Do Not Call Rory Flynn 11th Circuit Negligence Stockbroker Excessive Trading OWWP Florida Investment Adviser ICO Withdrawals YouTube David Lerner Amazon Tax Fraud Oral Discretion Verbal Discretion Libel Constitution Netschi Equity Indexed Annuities Moore Rule 21F 401(k) Fines Chiasson BrokeAndBroke PIABA TIC First Amendment CD Selling Away Administrative Remedies Texting Taft Correctional Institution Commissioner Stein Attorneys\' Fees Research CGMI OCIE 4Cir Christian Stanley FINRA AWC Judgment Dell BATS Sharemaster Escrow Regulation Control Person Chase Investment Services Arrest BrokerAndBroker.com RRBDlaw Turnover signature Data Sexual Harassment Ethereum Rule 1031 Scholander Meals Inside Information Attorneys Fees Money Market Fowler Nietzsche Congress Password Puts Robert Muh VXX VIX 11Cir Inmate Client Information Commodities Privilege CDO Non-Solicitation Hospital Outside Accounts IAR JPM AXA TheBlot Counterfeit Female Settling Away FOCUS SP Sexual Discrimination Jennifer Tarr Third Party Vendor Cold Spring Advisory Group Elles Argentina Department of Justice Resignation Stipulated Award Rule 2370 Fine Kent Women Disciplinary History Sex Self Directed Leveraged ETFs Pension Work Product Non-Prosecution Agreement Cherry Picking Excel NFA Martin RRBDLAW Cellphone Transfer Johnson Deferred Prosecution Agreement US Airways Lee Wells Fargo Advisors Credit Repair Elon Musk Stock Promotion Capitalism Test Center Election Murray Short Sale ALJ Grimes CMO AWC. FINRA Saad Trader Bank Guarantee Capital Gains Hugh Hewitt Compromise Series 79 Wire Transfers Oilpro Galleon Exhaustion Doctrine Supervisor Reuters Wires Brokeandbroker.com Stephen A. Kohn Bezos Dinner Merrill Apartment Gifts Anderson iPhone Collateral Pacifico Reverse Merger Hester Peirce Advisor Placement Group Binary Options Scam FINRA Small Firm Summary Judgment Financial Disclosure Irreparable Harm Fiero Mattera Production Eric Stein Romer Criminal Life Insurance Laser Mary Schapiro FCPA Branch Manager Beneficiaries BrokeandBroker.com Trainee Fee QuadrigaCX Texas State Securities Board NML Diamonds Silver Checking Undertaking Mistake Preet Bharara SD Kennedy LLC IBM Newbridge Prime Bank Undercover Nasdaq Lexicon Clayton Well Managed Portfolio Obamacare Sears Goble Game of Thrones MBS Turbeville Conflicts God Life Settlement National Securities BitTorrent Impersonator Statute of Limitation Subway Guardian Reform FINRA Board Springsteen Promoter McCartney Wages Practice Sale Jon Corzine Evidence Restitution Proctor Blank Forms Flash Drive Lek Customer Files Expense Gabelli Confidential Customer Information Respondeat Superior Rule 12904 Fourth Amendment Willfull ADR 1Cir Securities and Exchange Commission Disparate Treatment Pruco Coin 10b-5 Currency Section 206 Initials GAP Taxes Molchatsky Merill Lynch S&P Motion To Dismiss DPA Father MSPB BBVA BIll Singer Martoma Service NoCA SEC Rules of Practice 6Cir UIT Janney Montgomery Scott State Farm 9th Circuit Mary Jo White Exception Reports Compliance Officer Grievance DWI FDA Regulation S-P Bill singer Bill Singer BrokeAndBroker Office of Special Counsel Merger Unauthorized Trades Theft Honorarium false statements Baby Boomers Books and Records Falsification Varney Lewis Carroll Sharing Agreement Finra SDFL Rule 9554 Hertz Fee Powell Retired Woman With Cane Tennis Court Arbitrator EDPA Koval Banks PHC Sterne Agee Rule 3210 Daspin Orders Microcap Walter Expert Witness Tippee Countrywide Tran Permanent Bar Executrix Altered Records Immunity Tipper Relevant Confirmation Books And Records Rules of Practice Rule 2330 FMLA 1099 Cybercrime Payroll Chase Bank FTC Compliance Questionnaire Liquidation Customers SIPC Fraudulent Inducement Salman Age Discrimination Boyland ADEA Travel Enforcement Lawyers Personal Information Prudential Retroactive Bar Retroactive FNI Media NYG Capital Ethics Collateral Bar Bob Dylan Constructive Discharge Costa Rica AIG Self Reporting Bartko Municipal Advisor NRSRO Naskovets Risk Municipal Bonds In House Counsel Quasi Governmental State Actor Kierkegaard Rule 420 Nationwide AAA Broy Fiduciary Duty Arbitration 3Cir Newport Coast Securities Spam Bribe Outside Counsel Crime NY Life Reason for Termination Spoliation House Financial Services Skimming Motion to Compel Kenneth Starr 17a-5 Exotic ETF Annual Audit Offset 8210 Chevron JPMorgan Chase Solomon Schumer Witness Tampering Rule 3310 Reasonable Whistleblowers Dow Diabetes