SECURITIES IN REGISTRATION: DEBT
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;12/15/2003, Vol. 69 Issue 48, p54
Lists planned equity offerings that have been registered with the U.S. Securities and Exchange Commission in November 2003. Amedisys Inc.; Interpublic Group of Cos. Inc.; Central Fund of Canada; Bankrate Inc.; Tanger Factor Outlet Centers; Cyberguard Corp.
- AN ANALYSIS OF THE TYPES AND SEVERITY OF ACCOUNTING RULE FAILURES IN REPORTED FINANCIAL RESTATEMENTS OF US AND FOREIGN FIRMS. Houke, Charlotte T.; Amaria, Pesi // International Journal of Business, Accounting, & Finance;Fall2012, Vol. 6 Issue 2, p36
The article presents a study on the types and severity of accounting rule failures as reported in financial restatements of U.S. and foreign companies. It mentions the basis of the severity of the restatements reported to the Securities & Exchange Commission (SEC) on the said types. It also...
- New Template Offers Help for Drafting ADV Disclosure Documents. // Journal of Financial Planning;Sep2006 Supplement, p27
The article reports that the Financial Planning Association will launch the FPA ADV Part II-Template, a tool designed to assist planners and advisers to meet the mandatory requirements of the Securities and Exchange Commission, in late 2006. The teamplate is similar to the Financial Planning...
- Securities offering reform spills into private sector. A. P. // Asset Securitization Report;12/12/2005, Vol. 5 Issue 47, p6
The article focuses on how the securities offering reforms for public deals will affect the 144A market. On June 29, 2005 the U.S. Securities and Exchange Commission adopted securities offering reform rules. The changes broadened the ability for written information regarding an upcoming final...
- ING Life Insurance and Annuity Company, et al; Notice of Application. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;3/27/2013, Vol. 78 Issue 59, p18634
The article presents a notice of application received by the U.S. Securities and Exchange Commission (SEC) for an order approving the substitution of certain securities pursuant to Section 26(c) of the Investment Company Act of 1940, as amended.
- SEC adopts new rules on stock order execution. Valentin-Mari, Jeffry // Caribbean Business;12/7/2000, Vol. 28 Issue 48, p11
Reports on the rules concerning the execution of individual securities orders promulgated by the United States Securities and Exchange Commission. Aim of providing individual investors better information and access to better prices for securities; Impact on competition among market centers and...
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;5/24/2004, Vol. 70 Issue 21, p54
Lists planned equity offerings that have been registered with the U.S. Securities and Exchange Commission but have not yet come to market as of May 24, 2004. Lumera; Newtek Business Services; Volterra Semiconductor; Cogent Communications Group; Estee Lauder Cos.; Hyland Software; Immunogen;...
- SECURITIES IN REGISTRATION: DEBT. // Investment Dealers' Digest;5/24/2004, Vol. 70 Issue 21, p55
Lists planned debt offerings that have been registered with the U.S. Securities and Exchange Commission but have not yet come to market as of May 24, 2004. CSFG Mortgage Securities; JCP&L Transition Funding; Wisconsin Public Service; Anworth Mortgage Asset; Equity One ABS; Savannah Electric and...
- SEC Seeks Comment on New Rules 2a-46 and 55a-1. // ComplyNet;Nov2004, pN.PAG
Reveals that the U.S. Securities & Exchange Commission is seeking public comment on new Rule 2a-46 and new Rule 55a-1, both under the Investment Company Act of 1940. Purpose of the new rules; Deadline of the public comments.