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Finra's Schapiro on Fixing the System

November 10, 2008 - A new administration will soon begin looking at what went wrong with the regulatory system and how to ensure that it becomes more rational and “the protection of consumers more consistent across functional lines,” says the Financial Industry Authority’s Mary Schapiro.

FSA: Firms Must Retain Investor Confidence

February 11, 2008 - The U.K.’s Financial Services Authority has released its annual Financial Risk Outlook, which FSA head Callum McCarthy calls “a prudent attempt to highlight the risks that could impact consumers and firms in a less benign economy.”

Cox: The Rise of Sovereign Business

December 17, 2007 - The growth of state-owned, publicly traded companies and investment funds operated by governments that may not share the U.S. perspective on free markets will present increasing challenges for the SEC, says chairman Christopher Cox.

A U.S. Principles-based Regulator

December 10, 2007 - The Commodity Futures Trading Commission’s Walter Lukken calls his agency’s principles-based approach a “hybrid of desired public outcomes complimented by specific rules aimed at achieving those ends.”

Schapiro: Building a Better Regulator

November 19, 2007 - "The elasticity of principles-based rules is attractive to both the regulator and the regulated," says Mary Schapiro, CEO of Finra, which is in the process of integrating the rulebooks of its predecessors.

A Time for Regulatory Humility

November 12, 2007 - “We would be failing in our duty if we did not use the turmoil in the credit markets to review our regulatory framework,” says EU commissioner Charlie McCreevy, but “rushing to legislate afresh is not the sensible answer to a crisis.”

Healthier Markets To Emerge From Subprime Crisis

October 29, 2007 - Investors’ concerns about mortgage-backed securities have led them to increase their assessment of risks, says Fed chairman Ben Bernanke. The long-term result? A “healthier financial system.”

National Regulation, Globalized Markets

October 22, 2007 - In an increasingly globalized economy, regulators are finding common ground, says SEC chairman Christopher Cox, but that doesn’t mean that a single regulatory regime makes sense.

Cash, Credit and Confidence

October 15, 2007 - To restore the faith of investors, consumers and businesses in complicated financial products, banks and funds must share information about underlying assets, says Bank of America CEO Kenneth Lewis.

For Investors, Product Complexity Doesn’t Excuse Losses

October 8, 2007 - As credit derivatives become increasingly complex, it is ever more important that investors “perform independent and adequate due diligence prior to making an investment decision,” says Treasury’s Anthony Ryan.

Atkins on Regulatory Shortcomings

September 24, 2007 - The SEC's Paul Atkins says that all too often his agency fails to take an economic view of rulemaking.

STA: Reg SHO Should Be Enough

September 29, 2008 - The Security Traders Association argues that aggressive enforcement of Regulation SHO provisions is a more effective remedy than placing new limits on short selling.

Dark Pools, Reg NMS and the Changing Liquidity Landscape

September 17, 2007 - In today's fragmented market structure, traders must arm themselves with a knowledgeable guide to the shifting liquidity landscape, write EdgeTrade's Joseph Wald and Kyle Zasky.

Geithner on Reducing Systemic Risk

June 23, 2008 - New York Fed CEO Timothy Geithner calls for a comprehensive reassessment of how regulators can strike a balance between efficiency and stability.

Wall Street and Washington: Striking a Balance

June 2, 2008 - The private sector’s desire to preempt regulation through voluntary efforts will “ring hollow” if it is not followed by “proactive and tangible actions,” says Treasury’s Anthony Ryan.

Bernanke on Lessons in Risk Management

May 26, 2008 - The recent market turmoil offers financial institutions and regulators alike an opportunity to evaluate their approach to risk management, says Fed chairman Ben Bernanke.

Rebuilding Confidence in U.S. Markets

April 28, 2008 - NYSE Euronext chief executive Duncan Niederauer says that streamlining the regulatory structure could go a long way toward addressing the international “crisis in confidence” in the U.S. capital markets.

Weighing In on Treasury's Blueprint

April 7, 2008 - Treasury’s plan to overhaul the U.S. regulatory structure generated much debate last week as trade group, exchange and regulatory officials voiced their initial opinions.

Building Regulatory Networks

March 31, 2008 - The “regulatory networks” needed to oversee the futures industry require investment in technology and relationships, says Walter Lukken, acting chairman of the Commodity Futures Trading Commission.

Donohue: Let Market Forces Determine Market Structure

February 25, 2008 - CME chief executive Craig Donohue argues that regulators “should not, and likely cannot, mandate the establishment of a single monopoly provider” of central counterparty clearing services.