Rule Changes Coming
- SIB's new and revised rules. // Accountancy;Nov86, Vol. 98 Issue 1119, p43
Reports on the publication of the comprehensive Regulations of Investment Business Rules by Great Britain's Securities and Investments Board as of November 1986. Revision of the conduct of business rules; Detailed rules on gifts, inducements and benefits in kind from one investment business to...
- SEC to Issue Proposed Rules and Concept Release on SROs. Hume, Lynn // Bond Buyer;11/10/2004, Vol. 350 Issue 32008, p5
Reports on the U.S. Securities and Exchange Commission's plan to issue proposed rules that would strengthen the governance, transparency and oversight of securities exchanges and the National Association of Securities Dealers. Reasons why the self-regulatory organization reform is needed;...
- GFOA: SEC's broker-dealer light plan needs more protection for investors. Reynolds, Katherine M. // Bond Buyer;04/08/98, Vol. 324 Issue 30368, p6
Focuses on the Government Finance Officers Association's call for the Securities and Exchange Commission's (SEC) broker-dealer light proposal to extend investor protections to derivatives transactions in the United States. Broker-dealers' option of setting up designated subsidiaries for...
- Fulfilling the SEC's Standards for Electronic Documents. Henry, Peg // Bond Buyer;05/15/2000, Vol. 332 Issue 30891, p38
Outlines the areas of responsibility of both issuers of and dealers in municipal bond and all market participants in trying to fulfill the United States Securities and Exchange Commission's (SEC) standards for using electronic documents to comply with federal securities laws. Dealers'...
- SIB to change conduct of business rules. // Accountancy;Aug1988, Vol. 102 Issue 1140, p40
Reports that the British Securities and Investments Board plans to change conduct of business rules, according to Chairman David Walker.
- Professional jealousy. Murrill, Maureen // BRW;11/19/99, Vol. 21 Issue 45, p22
Focuses on the Australian Securities and Investments Commission's discussion paper on disclosure. Goal of finding a way to ensure shareholders are not denied access to information; Commission recommendations.
- (No) Shame on the Street. // Multinational Monitor;Nov/Dec2006, Vol. 27 Issue 6, p6
The author comments on the claim of the U.S. securities industry that government regulations prevent foreign firms from launching initial public offerings (IPO) in the U.S. He notes that the decision of foreign companies to launch IPO in their respective local markets has nothing to do with...
- Soft commissions. // Accountancy;May92, Vol. 109 Issue 1185, p46
Reports that the Great Britain Securities and Investments Board have decided not to change the operation of Core Rule 3 which relates to soft commission arrangements in the securities market.
- Panel: Too Early to Judge Effects of Decimals. Hendrickson, Mark // Securities Industry News;12/18/2000-12/25/2000, Vol. 12 Issue 47, p17
Assesses the result of the initial phased implementation of trading in decimals in listed stocks in the United States. Percentage of decline in average quoted spreads; Impact of decimal-based trading; Discussion of whether the Securities and Exchange Commission should impose rules inhibiting...