证券交易外文翻译

证券交易外文翻译内容摘要：

员的公司与纳斯达克上市的发行人，包括首席执行官，首席财务官和投资者关系人员的频繁和显着的相互作用。 谁分享了约翰逊的非公开信息为基础的企业负责人这样做是对的，那就是保密，并约翰逊不能使用他的个人利益信息的理解。 美国证券交易委员会的申诉，指控约翰逊违反第 10（二） 1934 年证券交易法和规则 10b 5 据此，并寻求永久性禁令救济，与预断兴趣，并罚款非法利润吐出。 约翰逊的妻子 Davila 洛佩兹命名为一个在美国证券交易委员会提出的关于收回其拥有的非法营利为目的的投诉救济被告。 美国证券交易委员会确认 了司法部的刑事司和美国邮政检查服务诈骗的 协助。 美国证券交易委员会提出协调与金融诈骗罪这些执法工作队的其他成员的执法行动。 美国证券交易委员会也承认他们在本次调查 FINRA 的援助和纳斯达克。 附录 B Private Fund Systemic Risk Reporting Background The DoddFrank Act established FSOC for the purpose of monitoring risks to the stability of the US financial system. Working with other regulators, FSOC will gather information from many sectors of the financial system for this purpose. In order to assist FSOC in this process, the DoddFrank Act directs the Commission to collect information from advisers to hedge funds and other private funds as necessary for Foss’s assessment of systemic risk. To implement this requirement, the Commission is proposing a new reporting form (Form PF) that would be filed periodically by investment advisers that are registered under the Advisers Act and manage one or more private funds. Information reported on Form PF would remain confidential In formulating this proposal, the Commission collaborated with the UK39。 s Financial Services Authority and other members of the International Organization of Securities Commissions. The resulting form is similar in many respects to surveys of large hedge fund advisers conducted by foreign financial regulators .In addition, the Commission consulted extensively with staff representing the other members of FSOC. The CFTC is scheduled to vote tomorrow on jointly proposing these reporting requirements. If the CFTC approves the joint proposal, private fund advisers that are also registered with the CFTC as modity pool operators or modity trading advisors would file Form PF to ply with certain reporting obligations that the CFTC would impose. Propose。