365 entries
Regulation
Securities laws, regulators and regulatory frameworks — Dodd-Frank, MiFID, Basel, KYC.
- Volcker Rule The Volcker Rule, part of the Dodd-Frank Act, prohibits banks from proprietary trading — trading for their own account and profit. It aims to prevent banks from taking large bets that could endanger the firm.
- Wash Trade Rules Prohibition on simultaneous offsetting trades to create false volume, designed to prevent market manipulation.
- What Does a State Banking Regulator Do? State banking regulators charter, examine, and enforce rules for state-chartered banks while coordinating with the FDIC and Federal Reserve on prudential oversight.
- Williams Act Federal takeover bid regulation and protections for target company shareholders.
- Wire Transfer KYC Threshold Rules Dollar thresholds triggering KYC collection and verification of originator and beneficiary details on domestic and international wire transfers under AML rules.
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