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