NABL Group To Upgrade Bond Counsel Guidance
- Wall Street analysts lay an egg for SEC. Bart, Peter // Daily Variety;8/6/2001, Vol. 272 Issue 46, p14
Comments on the report of the United States Securities and Exchange Commission telling the public not to trust stock analysts. Role of the business press in making analysts folk heroes; Rewards received by analysts for issuing so-called booster shots; Plan of action by the SEC against the analysts.
- MSRB Sends Muni-Fund Securities Qualifications Proposal to SEC. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p3
Reports proposal for regulatory changes in the Securities and Exchange Commission policy on professional qualifications by the Municipal Securities Rulemaking Board in the U.S. Focus on Rule G-3; Concept of municipal fund securities; Efforts of the board to gather public opinion on the proposed...
- Congressman Fights to Amend 1995 Reform Act. Rubenstein, Bruce // Corporate Legal Times;May2002, Vol. 12 Issue 126, p16
Focuses on the view of the U.S. Congress on the amendment plan for the Private Securities Litigation Act of 1995. Effect of the amendment on fraud cases; Impact of the plan in business enterprise; Concept of the Reform Act.
- Section 12(1) and the Imperfect Exempt Transaction: the Proposed I & I Defense. Schneider, Carl W.; Zall, Charles C. // Business Lawyer;Jul73, Vol. 28 Issue 4, p1011
Focuses on the proposal of the rules clarifying the terms important exemptions under the Securities Act of 1933 by the United States Securities and Exchange Commission. Content of the proposed rules; Substantive difficulties raised by the Rules; Limitations on the nature of permitted offers.
- THE SEC'S NEW RULE 144. Miller, Stephen R.; Seltzer, Richard S. // Business Lawyer;Jul72, Vol. 27 Issue 4, p1047
Features Rule 144 of the Securities and Exchange Commission regarding the objective conditions for the sale without registration under the Securities Act of 1933 in the United States. Date of effectivity; Background of the Rule; Provisions of Rule 144.
- SEC Approves MSRB Anti-Money Laundering Rule. Hume, Lynn // Bond Buyer;7/16/2003, Vol. 345 Issue 31678, p4
Focuses on the announcement of the U.S. Securities and Exchange Commission, that it has approved a Municipal Securities Rulemaking Board rule that requires broker-dealers that deal solely in municipal securities to establish and implement compliance programs to prevent money laundering on July...
- New independence standards board announced. // CPA Journal;June97, Vol. 67 Issue 6, p8
Announces the formation of a standard setting body called the Independence Standards Board (ISB) to deal with the issue of auditor independence for companies whose securities are registered with the Securities and Exchange Commission (SEC). Composition of the board; Statement given by SEC Chair...
- SEC refusing paper. // Practical Accountant;Feb98, Vol. 31 Issue 2, p8
Focuses on an electronic filing rule adopted by the United States Securities and Exchange Commission (SEC), (Rule 14 of Regulation S-T, Rel No. 33-7472) stating that the SEC will no longer be accepting filing in paper, which should be filed electronically. When the rule became effective;...
- SEC to crack down on violations of new trading rules. Horowitz, Jed // Investment Dealers' Digest;09/22/97, Vol. 63 Issue 38, p9
Reports on the US Securities and Exchange Commission's informal grace period for its order handling rules. Difficulties in implementing the rules; Identification of rampant violations; Ways of preventing violations.