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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Focusing on test score gains may lead regulators to favor schools whose benefits could easily fade over time and punish schools that are producing long-lasting gains.
The risks of building up inflation pressures will also remain in the second half of this year that, in the opinion of EDB experts, will most likely lead regulators to taking a more prudent approach to bringing down policy rates in the remaining part of the year.
Nichols said the international scandal could lead regulators to harmonize their emissions testing protocols.
The lead regulators on the agreement are the insurance regulatory agencies in California, Florida, North Dakota, Illinois, Pennsylvania and New Hampshire.
Joseph Smith, who is North Carolina's banking commissioner, would lead regulators for the two housing refinance companies.
"Failing to do so might lead regulators to withdraw operators' licenses or specific permits," warns the Commission.
This could, in theory, lead regulators to fine it up to 10% of the turnover of its letters business - pounds 670million.
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.
Lead regulators from New York, Illinois and New Jersey Departments of Insurance as well as the Alabama SEC will detail 2009 agendas as well as highlight practices that will come under the regulatory microscope in the upcoming year.
Larson presumably had the option of paying additional discount points in return for a lower interest rate, but he chose not to do so, either because he had fewer liquid assets with which to pay his closing costs or because he anticipated paying off his mortgage in the near future.(8) As a result, focusing on the APR could lead regulators to mistakenly conclude that Mr.
BNP Paribas has worked with the US authorities to resolve these issues and the resolution of these matters was coordinated by its home regulator (Autorite de Controle Prudentiel et de Resolution - ACPR) with its lead regulators. BNP Paribas will maintain its licenses as part of the settlements, and expects no impact on its operational or business capabilities to serve the vast majority of its clients.
With Austria and Italy as lead regulators, this latter region brings together Bulgaria, the Czech Republic, Greece, Hungary, Poland, Romania, Slovakia and Slovenia.