According to a report by the International Organization of Securities Commissions, the most common tactic is the direct regulation of financial advisers — including hedge fund managers, which is primarily intended to protect investors against fraud.

According to U. S. Securities and Exchange Commission ( SEC ), Stewart avoided a loss of $ 45, 673 by selling all 3, 928 shares of her ImClone Systems stock on December 27, 2001, after receiving material, nonpublic information from Peter Bacanovic, who was Stewart's broker at Merrill Lynch.

According to professor Frank Partnoy, the regulation of CRAs by the Securities and Exchange Commission ( SEC ) and the FED has eliminated competition between CRAs and practically forced market participants to use the services of the three big agencies, Standard and Poor's, Moody's and Fitch.

According to documents filed with the Securities and Exchange Commission, in 1999 the company had revenue of $ 3. 5 million, with a resulting net loss of $ 26. 3 million.

* On December 22, 2004, “ the Securities and Exchange Commission, NASD and the New York Stock Exchange announced .. enforcement proceedings against Edward D. Jones & Co., L. P., a registered broker-dealer headquartered in St. Louis, Missouri .” According to the announcement, “ Edward Jones failed to adequately disclose revenue sharing payments that it received from a select group of mutual fund families that Edward Jones recommended to its customers .” The company agreed to “ pay $ 75 million in disgorgement and civil penalties.

According to the United States Securities and Exchange Commission, the two main methods used by these criminals are:

According to an NHL-commissioned report prepared by former U. S. Securities and Exchange Commission chairman Arthur Levitt, prior to 2004 – 05, NHL clubs spent about 76 percent of their gross revenues on players ' salaries – a figure far higher than those in other North American sports – and collectively lost US $ 273 million during the 2002 – 03 season.

According to the West Corporation, his practice areas include Securities Law, Antitrust Law, and Consumer Protection.

According to U. S. Securities and Exchange Commission, losses of victims were at least USD 5. 5 million.

According to the amended Securities Registration and Issuance Regulation – 2065, hydropower companies must float shares for the locals before they open the issue for general public.

According to statistics from 2003, the Osaka Securities Exchange handled 59 % of the stock price index futures market in Japan, and almost 100 % of trading in the options market.

According to RBC Dominion Securities, yearly trust cash distributions amounted to C $ 16 billion in 2005, not including potential capital gains taxes on trust conversions.

According to documents Pfizer filed with the Securities and Exchange Commission, Mr. McKinnell received a base salary in 2005 of $ 2, 270, 500, and a bonus of $ 3, 700, 000.

According to COSO, these components provide an effective framework for describing and analyzing the internal control system implemented in an organization as required by financial regulations ( see Securities Exchange Act of 1934 ,) The five components are the following:

According to the Securities Industry and Financial Markets Association ( SIFMA ), as of Q2 2011, the U. S. bond market size is ( in trillions of dollars )

According to the Securities Law, SASE members can only be legal entities-brokerage houses whos sole activity is trading in securities, with headquarters in Bosnia and Hercegovina.

According to historian Alfred W. Crosby Jr. in his The Columbian Exchange: Biological and Cultural Consequences of 1492, this outbreak is the first widely documented epidemic in the New World.

According to Professor Lynda Walsh of the University of Nevada, Reno, some hoaxes — such as the Great Stock Exchange Fraud of 1814, labeled as a hoax by contemporary commentators — are financial in nature, and successful hoaxers — such as P. T. Barnum, whose Fiji mermaid contributed to his wealth — often acquire monetary gain or fame through their fabrications, so the distinction between hoax and fraud is not necessarily clear.

According to a study by a researcher at the Wharton Business School, the number of American companies deregistering from public stock exchanges nearly tripled during the year after Sarbanes – Oxley became law, while the New York Stock Exchange had only 10 new foreign listings in all of 2004.

* The Maintenance of Free Trade, According to the Three Essentiall Parts of Traffique ; Namely Commodities, Moneys and Exchange of Moneys, by Bills of Exchanges for other Countries.

On November 4, 2009, Hyatt completed an initial public offering and began trading publicly on the New York Stock Exchange under the symbol H. According to the filing, Mark S. Hoplamazian will serve as CEO and Thomas Pritzker will serve as Executive Chairman.

According to the Academic Exchange Quarterly: " Studies of a theoretical or empirical nature ( including case studies, portfolio studies, exploratory, or experimental work ) addressing the assessment of learner aptitude and preparation, motivation and learning styles, learning outcomes in achievement and satisfaction in different educational contexts are all welcome, as are studies addressing issues of measurable standards and benchmarks ".

According to the New York Stock Exchange, a blue chip is stock in a corporation with a national reputation for quality, reliability and the ability to operate profitably in good times and bad.

According to the Korea Foundation for International Culture Exchange, K-pop has been a successful export of Korean culture in Asia.

According to a report from the Organic Exchange, in 2008 the production of conventional cotton used over 284 million pounds of pesticides in the United States alone, with hundreds of millions more pounds sprayed worldwide.

According to historian Jeffrey B. Morris, “ hen Judge Duane convened the district court for the District of New York — at the former Royal Exchange at the foot of Broad Street on November 3, 1789, it was the first meeting of a court ever held under the sovereignty of the U. S .” The Act of April 9, 1814, 3 Stat.

According to the New York Stock Exchange, in 2006 program trading accounts for about 30 % and as high as 46. 4 % of the trading volume on that exchange every day.

According to the Exchange, these limits are set by the Department of Defense, per DoD Instruction 1330. 9.

According to the Exchange, gasoline prices are only marginally cheaper because the individual stores are required to be " competitive " with off-post locales.

According to Australian historian Barry Ralph, on 26 November an intoxicated Private James R. Stein of the U. S. 404th Signal Company left the hotel where he had been drinking when it closed at 6: 50 pm and began walking to the Post Exchange PX on the corner of Creek and Adelaide Street some 50m further down the road.

According to FBI director Robert Mueller and the 9 / 11 Commission, Omari entered the United States through a Dubai flight on June 29, 2001, with Salem al-Hazmi, landing in New York.

According to U. N. Commission on the Limits of the Continental Shelf, the approved expansion is equal to about 82 % of Japan's total land area.

According to Federal Election Commission data, Spacey has contributed US $ 42, 000 to Democratic candidates and committees.

According to the records compiled by the United States Sentencing Commission, in 2009, the United States Department of Justice typically convicted a little over 81, 000 people ; of this, approximately 800 are convicted of money laundering as the primary or most serious charge.

According to the 9 / 11 Commission Report, Moqed set off the metal detector at the airport and was screened with a hand-wand.

According to the Constitution of North Korea ( 조선민주주의인민공화국 사회주의 헌법 ) Article 100, " the National Defence Commission is the highest military leadership body of State power.

" According to Article 102, " the Chairman of the National Defence Commission of the Democratic People's Republic of Korea commands and directs all the armed forces and guides national defence as a whole.

According to the International Commission on Non-Ionizing Radiation Protection, electromagnetic radiations from ultraviolet to infrared, to radiofrequency ( including microwave ) radiation, static and time-varying electric and magnetic fields, and ultrasound belong to the non-ionizing radiations.

According to the Texas Transportation Commission, Paris is the second-largest city in Texas without a four-lane divided highway connecting to an Interstate highway within the state.

According to the American writer Kevin Self, in the 1920s a German committee member of the International Electrotechnical Commission proposed giga-as a prefix for 10 < sup > 9 </ sup >, drawing on a verse by the humorous poet Christian Morgenstern that appeared in the third ( 1908 ) edition of Galgenlieder ( Gallows Songs ).

According to a recent report by the European Commission, Slovakia ( along with some other Central and Eastern European economies ) is low down on the list of EU states in the area of innovation ( Slovakia ranks 22nd ).

According to the 9 / 11 Commission Report, it is possible that pilots were not stabbed to death and were sent to the rear of the plane.

According to the 9 / 11 Commission Report, 26 al-Qaeda terrorist conspirators sought to enter the United States to carry out a suicide mission.

According to the 9 / 11 Commission Report, " This was an unprecedented order.

According to 9 / 11 Commission staff statement No. 17 there were several communications failures at the federal government level during and after the 9 / 11 attacks.

According to the 9 / 11 Commission Report, 13 passengers from Flight 93 made a total of over 30 calls to both family and emergency personnel ( twenty-two confirmed air phone ( airfone ) calls, two confirmed cell phone and eight not specified in the report ).

According to the FBI and the 9 / 11 Commission report, Hazmi first entered the United States on June 29, 2001, although there are numerous unconfirmed reports that he was living in San Antonio, Texas with fellow hijacker Satam al-Suqami much earlier.

According to accounts filed with the Electoral Commission for the year ending 2010, the party had a membership of 16232, up from 15, 097 in 2008 and 9, 450 in 2003.

Time magazine in 1983 published reports of human rights violations in an article which stated that " According to Nicaragua's Permanent Commission on Human Rights, the regime detains several hundred people a month ; about half of them are eventually released, but the rest simply disappear.

According to the Federal Election Commission ( FEC ), the NLP spent $ 2. 3 million on its presidential campaign in the 1999-2000 election cycle.

According to Captain Phillip's amended Commission, dated 25 April 1787, the colony included all the islands adjacent in the Pacific Ocean within the latitudes of 10 ° 37 ' S and 43 ° 39 ' S which included most of New Zealand except for the southern half of the South Island.

According to the United States EMP Commission, the main potential problem with the E2 component is the fact that it immediately follows the E1 component, which may have damaged the devices that would normally protect against E2.

According to the EMP Commission Executive Report of 2004, " In general, it would not be an issue for critical infrastructure systems since they have existing protective measures for defense against occasional lightning strikes.

According to the CIE ( the International Commission on Illumination ), reflectivity is distinguished from reflectance by the fact that reflectivity is a value that applies to thick reflecting objects.

According to the International Boundary and Water Commission, its total length was in the late 1980s, though course shifts occasionally result in length changes.