Treasurers Group 'Encouraged' After Meeting With SEC
- Paying to play. // Pensions & Investments;5/17/1999, Vol. 27 Issue 10, p12
Reports on the proposal of the United States Securities and Exchange Commission to ban pay-to-play at pension funds. Power of consultants and the pay to play they generate in the investment management community; Political campaign contributions to officials at pension funds.
- SEC will challenge some return assumptions. Anand, Vineeta // Pensions & Investments;2/3/2003, Vol. 31 Issue 3, p1
Reports on U.S. Securities and Exchange Commission's plan to challenge corporations with pension funds that assume long-term rates of return of nine percent as of February 03, 2003. Impact of SEC pronouncements companies; Reduction in pension funds' long-term rates by companies.
- Proxy access reinforces the capitalist way. Anson, Mark // Pensions & Investments;11/16/2009, Vol. 37 Issue 23, p12
The article comments on the proposed rule entitled "Facilitating Shareholder Director Nominations" released by the U.S. Securities & Exchange Commission (SEC). The proposed rule is aimed to give shareholders limited access to the proxy statement of the company in order to nominate candidates to...
- How Is SOX Affecting Small Businesses? Swartz, Nikki // Information Management Journal;Mar/Apr2005, Vol. 39 Issue 2, p14
This article reports on the creation of an advisory committee that aims to examine the impact of the Sarbanes-Oxley Act and other federal securities laws on smaller public companies in the U.S. The advisory committee will be known as the Securities and Exchange Commission (SEC) Advisory...
- SEC to Reconsider Mutual Fund Rule. Hume, Lynn // Bond Buyer;6/23/2005, Vol. 352 Issue 32160, p3
This article reports that the U.S. Securities and Exchange Commission (SEC) is expected to reconsider its controversial mutual fund rule at a meeting, one day before chairman William H. Donaldson, a proponent of the rule, is to step down from his post, and less than a week after a federal...
- SEC Plan Details Exemptions for Broker-Dealers. Paletta, Damian // American Banker;6/3/2004, Vol. 169 Issue 106, p4
After three years of intense negotiations with banks and their regulators, the U.S. Securities and Exchange Commission (SEC) proposed a rule on Wednesday to implement the Gramm-Leach-Bliley Act's broker-dealer provisions. The proposed rule defines the 11 exemptions spelled out in the 1999 law...
- William H. Donaldson Honored at 2010 Gala. Baker, Jeanne // Financial History;Winter2010, Issue 96, p6
The article announces that William H. Donaldson, former chairman of the U.S. Securities and Exchange Commission, received the John C. Whitehead Award for Distinguished Public Service and Financial Leadership by the Museum of American Finance.
- SEC Establishes Advisory Committee To Examine Impact Of Sarbanes-Oxley Act On Smaller Public Companies. // Business Credit;Feb2005, Vol. 107 Issue 2, p17
Reports on the United States Securities and Exchange Commission Chairman William H. Donaldson's announcement of the establishment of an advisory committee to assist the Commission in examining the impact of the Sarbanes-Oxley Act and other aspects of the federal securities laws on smaller public...
- Outgoing Chairman Donaldson Wins Controversial Fund Rule Vote. Vadum, Matthew // Bond Buyer;6/30/2005, Vol. 352 Issue 32165, p5
Reports on the reaffirmation of the controversial rule requiring mutual funds to have independent chairmen by the U.S. Securities and Exchange Commission. Assessment of outgoing SEC Chairman William H. Donaldson about the implications of the measure on the industry; Effectivity of the rule;...