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Lead Regulator

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Lead regulator
A leading self-regulatory organization that over sees compliance with a particular section of the law, such as the NYSE, ASE, or NASDAQ.
Lead Regulator
A self-regulatory organization that assists government regulators in enforcing some aspects of trading law. Prominent examples include the New York Stock Exchange and NASDAQ.
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The Group Chairman and two Executive Directors, Douglas Flint and Stuart Gulliver, will continue to be based in London, while the UK's Financial Services Authority remains the lead regulator of the group.
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This could, in theory, lead regulators to fine it up to 10% of the turnover of its letters business - pounds 670million.
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However, scarce enforcement resources and the overlapping jurisdictions tend to lead regulators, whether federal or provincial, to be cautious about asserting their authority and to take on only the most egregious cases.
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