The National Association of Securities Dealers should possess authority to issue temporary-cease-and-desist orders

Article Abstract:

The SEC should grant the National Association of Securities Dealers, Inc. (NASD), the power to issue cease-and-desist orders to stop securities laws violations before they occur. At present, the NASD can refer violations to the SEC or other law enforcement agencies but cannot itself take any preventive action. A review of cease-and-desist orders as administrative remedies shows that it is appropriate for a private, non-profit, self-regulatory organization such as the NASD to issue them.

Remedies, Powers and duties, Securities fraud, National Association of Securities Dealers

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It's a small world after all: the SEC's role in securities regulation globalization

Article Abstract:

The author, who is an SEC commissioner, discusses the SEC's cooperative efforts in international securities regulation including alliances with its counterparts in other nations, Y2K problem initiatives, and initiatives concerning international accounting standards.

International, Analysis, International aspects, Industry regulations, Securities law, Government regulation of business, Trade regulation, International cooperation

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SEC cease-and-desist orders

Article Abstract:

SEC cease-and-desist orders are the subject of this article in which the author discusses substantive law issues, the operation of cease-and-desist orders in other administrative agencies, other available sanctions, procedural issues, and policy concerns.

Practice, United States. Securities and Exchange Commission, Injunctions, Administrative sanctions

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