Our Mandate. As the name implies the mandate of the Bureau of Compliance Regulatory Board is to oversee, administer and enforce the federal securities laws ...
International Profile. As a reputable international financial center with full access to global markets, it is essential that the Bureau of Compliance Regulatory ...
Rule 144: Selling Restricted Securities. When you acquire restricted securities or hold control securities, you must find an exemption from the US Regulator's ...
Bureau of Compliance Regulatory Board 699 Walnut Street, Suite 505, 5th Floor, Des Moines, Iowa, 50309. Telephone: 1.515.218.7863. Fax: 1.515.608.4701
The Bureau of Compliance Regulatory Board's role is to establish government oversight. Our mission is to protect participants in the mergers and acquisitions industry. The Bureau of Compliance Regulatory Board is concerned primarily with disclosure of important information, enforcing M&A laws, and protecting participants who interact with these various organizations and individuals.
Crucial to the Bureau of Compliance Regulatory Board's effectiveness is its enforcement authority. Each year we bring more enforcement actions against individuals and companies that break U.S laws. Typical infractions include accounting fraud, and providing false or misleading information.
Aside from administering and enforcing federal M&A laws in order to maintain fairness, honesty and efficiency, the Bureau of Compliance Regulatory Board has continuously committed itself to disseminating information in a timely and efficient manner, one channel of which is through its website that offers a wealth of informational resources.
Fighting fraud however, requires teamwork. At the heart of effective protection is an educated and cautious participant. The Bureau of Compliance Regulatory Board is the primary overseer and regulator of the mergers and acquisitions industry, and we work closely with many different institutions, and agencies.