Regulatory Design

The Global Financial Crisis has demonstrated the limits of debates over privileging rules over principles or vica-versa. Effective regulatory design necessitates a pro-active interaction between rules, principles and social norms in order to determine that stated values actually inform practice. This series examines the impact of the GFC on regulatory design.    

CFTC-SEC Release Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives

The Commodity Futures Trading Commission and the Securities and Exchange Commission jointly study the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions which may be used to describe complex and standardized financial derivatives, and t
Originally Published: 
Thursday, April 7, 2011

SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act

In accordance the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may be classified as an “acc
Originally Published: 
Wednesday, December 21, 2011

SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading ("Volcker Rule")

As required by Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission together with the Federal Deposit Insurance Corporation, the Federal Reserve Board, and the Office of the Comptroller of the Currency, has voted to propose a rule
Originally Published: 
Wednesday, October 12, 2011

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