Questions tagged [regulation]

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Does the SEC require an announcement of hostile takeovers?

Elon Musk bought 9% (or so) of Twitter. Apparently he failed to make some sort of disclosure, which he is being sued for Musk started buying Twitter stock in January and acquired more than 5 percent ...
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Transfer of shareholders for public company redomiciliation

A public company that I own stock in wants to change its domicile. I can see that ordinary shares (not referring to the DRs) of the company is listed on three exchanges in three countries, lets call ...
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When were KYC questions introduced in the EU?

The Wikipedia page on KYC doesn't provide that information. I believe it happened a few years after 9/11 so it is hard to google — all results I get are much more recent. Specifically, I am interested ...
d-b's user avatar
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Do I get a second chance if I fail the SGX quiz?

To trade Specified Investment Products (SIPs) such futures, options and structured warrants, I need to pass the SGX quiz. What happens if I fail the quiz? Will I get a second chance? What is the ...
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Do banks need a foreign branch to access a derivatives market (e.g.) London

I would be very interested to know whether banks (e.g. Santander, Deutsche Bank, etc.) need a foreign branch in a country (e.g. UK - London) to access the derivatives market in this country. Would ...
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Applicabilty of COBS to PRIIPs

Under FSMA 2000 and the subsequent amendments, the FCA is empowered in the UK to develop rules and guidance for authorised firms to adhere to. These are generally captured in the FCA Handbook, itself ...
Zac's user avatar
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What regulations are in place to protect consumer's investments in UK?

I know about FSCS (Financial Services Compensation Scheme), which will cover you in case your broker defaults, but it will only cover up to 50K GBP for investments; not particularly much. What ...
Enno Shioji's user avatar
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Is withdrawing cash from a broker in margin in Europe prohibited?

Since about 2 years its impossible to simply withdraw cash from interactivebrokers in Europe on margin. You can buy more stock on margin, but you can't withdraw cash. Is this something regulatory ...
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Finding CRD Number for Brokerage

In order to file a complaint with FINRA, there's some identification numbers they ask for. They ask for "SEC#" and/or "CRD#". CRD stands for Central Registration Depository. ...
Dale's user avatar
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What are the trading restrictions, if any, when investing within my Health Savings Account (HSA)?

I wonder whether there any trading restrictions when investing within my Health Savings Account (HSA). https://www.loyola.edu/-/media/department/hr/documents/benefits/health-wellness/medical/hsa-...
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Can brokers execute my OTC stock orders at inferior prices by "trading through"?

I am aware that FINRA-registered broker-dealers have to follow FINRA Rule 5310 (Best Execution and Interpositioning). But are OTC stocks (OTCQX, OTCQB, OTC Pink) subject to the Order Protection Rule ...
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Are management teams in Canada required to report their ownership in a public company?

Are management teams of companies listed on Canadian stock exchanges required to report their shares in the company? Are they also required to report if they purchase shares on the market?
Stanley Tan's user avatar
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May U.S. Companies Simultaneously Issue Stock Domestically and Abroad?

According to the SEC webpage on International Investing, "Some foreign companies list their securities in multiple markets, which may include U.S. markets." The example given regards ...
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Rule 144a and Publicly Traded Companies

Suppose you exercise an employee stock option and receive 100 Class A shares. Class A shares are publicly traded on the NASDAQ. Do you have to follow Rule 144?
Jake Freeman's user avatar
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Swing Trading Roth IRA & SEC's Reg T+2 amendment?

Few resources state that swing trading Roth IRA account would be difficult due to SEC's Reg T+3 which per SEC Website is now Reg T+2 effective Sept. 5, 2017. Even prior to SEC's amendment, my ...
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Pre-Authorized Direct Debit through online forms

This might be a cross-over between stackoverflow and money.stackexchange but I am wondering about the rules and regs of setting up a Pre-Authorized Direct Debit (PAD) through an online form. Say I ...
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