Ricciardi to Be SEC's New Boston Administrator
- Bresnan, Ricciardi Named Deputy Directors of Enforcement. Hume, Lynn // Bond Buyer;10/28/2005, Vol. 354 Issue 32248, p5
Reports on the appointment of Peter H. Bresnan and Walter G. Ricciardi as deputy directors of the U.S. Securities and Exchange Commission's (SEC) enforcement division. Identification of Bresnan as the SEC lawyer who successfully resolved the agency's first litigated yield-burning case in the...
- Nine-Month SEC Resignation Rates Continue to Slide. // Public Accounting Report;10/15/2008, Vol. 32 Issue 19, p1
The article reports on the continued decline of the nine-month Securities and Exchange Commission (SEC) resignation rates for international professional services firms in 2008. It is inferred that every segmented firm category including Big Four, National Firms, and Local and overall firms are...
- SHOULD FCPA "TERRITORIAL" JURISDICTION REACH EXTRATERRITORIAL PROPORTIONS? Hecker, Sean; Laporte, Margot // International Law News;Winter2013, Vol. 42 Issue 1, p7
The article focuses on the Foreign Corrupt Practices Act (FCPA) which was enacted 35 years ago. It states that the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) broad jurisdiction has permitted the Foreign Corrupt Practices Act (FCPA) for the enforcement of...
- Keeping current: securities. Lamarre, David // Business Law Today;Nov/Dec2009, Vol. 19 Issue 2, p19
The article discusses the Securities and Exchange Commission (SEC) staff guidance on 10b5-1 trading plans in the U.S. It notes that the directors and officers of public companies mostly rely on the so-called Rule 10b5 trading plans. It explains that the rule provides nonpublic information status...
- Cox Named Chairman; ICI Praises Appointment. McDerrnott, Ryan // Money Management Executive;8/8/2005, Vol. 13 Issue 31, p6
This article reports that Federal Reserve Chairman Alan Greenspan swore Christopher Cox as the 28th chairman of the U.S. Securities and Exchange Commission. A Congressman since 1988, Cox was nominated to head the SEC by President George W. Bush in June 2005 and confirmed by the Senate last...
- SEC Names Ricciardi Head of Boston Office. // Money Management Executive;4/5/2004, Vol. 12 Issue 14, p4
Reports on the appointment of Walter G. Ricciardi as the district administrator of the Securities and Exchange Commission's (SEC) Boston office. Position of interim district administrator, Peter H. Bresnan to be taken by Ricciardi, a famous securities lawyer; Use of legal and management...
- SEC's Access Rule Could Split High Frequency Market. Hintze, John // Securities Industry News;1/25/2010, Vol. 22 Issue 2, p5
The article discusses skepticism on the U.S. Securities and Exchange Commission's (SEC) Rule 15d3-5, requiring pre-trade checks but giving broker-dealers flexibility to adjust market-access proposal.
- Citi, Freddie May Join 'Subpenny' Test. // American Banker;5/4/2010, Vol. 175 Issue 68, p16
The article discusses a request by financial firms including Citigroup Inc. and Freddie Mac that the U.S. Securities and Exchange Commission (SEC) allow them to join a pilot test which would enable them to trade select securities in increments of less than one cent.
- SEC Analysis Methodology and Categories. // Public Accounting Report;3/15/2010, Vol. 34 Issue 5, p2
The article reports on the analysis made by the U.S. Securities and Exchange Commission (SEC) for the registrants who terminated or violated the securities registration or not filed their documents since March 1, 2009.