NFMA Panel to Probe Issuers' Reluctance to Disclose
- Rules and Regulations: SECURITIES AND EXCHANGE COMMISSION. // Federal Register;1/16/2014, Vol. 79 Issue 11, p2777
The article provides information on the temporary stay of final rule regarding registration of municipal advisors, imposed by the U.S. Securities and Exchange Commission. The agency is staying temporarily rules regarding registration of municipal advisors until July 1, 2014. It states that the...
- Commentary: An SEC First A Fine for a Muni Issuer. Dunbar, Andrew J.; Sanchez, Jose F. // Bond Buyer;11/19/2013, Vol. 122 Issue 34014, p1
In this article, the author discusses the aspects of financial penalty against a municipal issuer for false and misleading statements by the U.S. Securities & Exchange Commission (SEC). He argues that it is the first time that SEC has assessed a financial penalty against a municipal issuer. He...
- SMALLER COMPANIES are likely to benefit the most from new Sarbanes-Oxley rules. Agaman, Leanne // U.S. Business Review;Feb2007, Vol. 8 Issue 2, p6
The article focuses on rule changes and proposals introduced by the U.S. Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB) to reduce the burden imposed on public corporations by Sarbanes-Oxley (SOX) Section 404 compliance requirements. It cites...
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.
- SEC slates small business meeting. // Las Vegas Business Press;05/18/98, Vol. 15 Issue 20, p27
Reports that the US Securities and Exchange Commission will hold a small business town hall meeting on May 28, 1998, at the Moyer Student Union Ballroom at the Las Vegas, Nevada-based University of Nevada. Contact information.