Legal encyclopedia. The letter P

REGULATION OF THE SECURITIES MARKET

Is carried out by the state by:

1) establishing requirements for the activities of issuers and professional participants of the securities market;

2) state registration of the issue of equity securities, securities prospectuses;

3) control over compliance by issuers with the terms and conditions stipulated in prospectuses of securities;

4) licensing the activities of professional participants in the securities market;

5) creation of a system for protecting the rights of owners and monitoring their compliance;

6) prohibiting and suppressing unlicensed activities of persons engaged in entrepreneurial activities in the securities market.

RR CB is carried out by issuing a special permit-license,

Which is issued by the federal executive body for the securities market or its authorized bodies on the basis of a general license for all types of professional activities in the securities market. The grounds for refusing to issue a license, suspend or cancel it are the cancellation or revocation of a banking license issued by the Bank of Russia.

The federal executive body regulating the securities market:

1) develops the development directions for the securities market;

2) carries out its coordination of activities on the issues of RR CD;

3) approve the issuance standards for securities, securities prospectuses of issuers, the procedure for state registration of the issue of equity securities, state registration of reports on the results of issuance of securities and registration of securities prospectuses;

4) develops, approves, establishes uniform requirements to the rules for the implementation of activities with securities;

5) establishes mandatory requirements for

The procedure for maintaining the register of holders of securities;

6) establish the procedure, implement, suspend, revoke the licensing of professional activities on the securities market;

7) issues, suspends, annulls general licenses for carrying out activities for licensing the activities of professional participants in the securities market and maintains their register;

8) establish the procedure, implement, suspend, revoke licensing and maintain a register of self-regulating organizations of professional participants in the securities market;

9) determines the standards of activity of investment, non-state pension funds, insurance funds, their management companies, insurance companies in the securities market;

10) monitor compliance with the requirements of the RF legislation, standards and requirements, as well as oversee compliance of the volume of issuance of securities to their number in circulation;

11) controls the conduct of transactions with

Cash or other property, which are committed by professional participants of the securities market;

12) disclose information on registered issues of securities, professional participants in the securities market and regulation of the securities market;

13) develops bills related to issues of securities market regulation, licensing of activities, control over observance of legislative and regulatory acts on securities, as well as recommendations to them;

14) conducts their expertise;

15) directs its regional offices;

16) establish, determine the admission of securities issued by registered in the Russian Federation by issuers, to primary placement and circulation outside the territory of the Russian Federation;

17) apply to the arbitration court.