Yield burning, rule g-37 among SEC exam priorities
- It's back to school for stockbrokers. LaFemina, Lorraine // Long Island Business News (7/1993 to 5/2009);5/22/95, Vol. 42 Issue 21, p3
Reports that six self-regulatory stock and security organizations in the United States have proposed rules to the Securities and Exchange Commission (SEC) to establish a continuing education program for stockbrokers. Names of the organizations; Number of registered brokers affected; Description...
- Waivers Give Incentive to Settle Yield-Burning Suits, Lawyers Say. Hume, Lynn // Bond Buyer;04/20/2000, Vol. 332 Issue 30875, p1
Discusses why securities brokers and dealers would rather settle than fight the United States Securities and Exchange Commission (SEC) in enforcement cases. Series of letters from the SEC granting waivers and regulatory relief to securities firms involved in the global federal yield-burning...
- Sunshine Act Meeting. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/17/2012, Vol. 77 Issue 201, p63902
The article informs about a Sunshine Act meeting organized by the U.S. Securities and Exchange Commission to be held on October 17, 2012 at Washington D.C. to propose capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
- SEC bars two. Harrington, John // Crain's New York Business;1/8/96, Vol. 12 Issue 2, p22
Reports on the barring by the Securities and Exchange Commission from the industry of two securities brokers amid claims that they misled investors about the safety of millions of dollars of Towers Financial Corp. bonds.
- Advisory Question Pending at SEC. // On Wall Street;Mar2001, Vol. 11 Issue 3, p19
Focuses on the proposed regulation on hold at the United States Securities and Exchange Commission that would create a distinction between financial advisory accounts and brokerage accounts. Details on the so-called Merrill Lynch rule.
- The broker's theory of relativity. Skeffington, Robert // BRW;10/10/2002, Vol. 24 Issue 40, p41
Discusses the implications of the rules ratified by the United States Securities and Exchange Commission to regulate the rating practices of stockbrokers. Disclosure of the distribution of ratings; Companies which have changed their rating systems in order to be compliant with the standards;...
- SEC has few problems with dishonest brokers here. Schneider, A.J. // Indianapolis Business Journal;10/3/94, Vol. 15 Issue 27, p11A
Reports on the US Securities and Exchange Commission's (SEC) announcement to conduct surprise inspections of securities dealers across the country. Investigation of small and midsize brokerage firms to combat the problem of `rogue brokers'; Indication of the departure from standard SEC procedure.
- SEC Exam Staff Issues Its First ComplianceAlert. // Venulex Legal Summaries;2007 Q2, p1
The article reports on the first ComplianceAlert issued by the U.S. Securities and Exchange Commission (SEC) Office of Compliance, Inspections, and Examinations (OCIE) on June 14, 2007. The document is said to be the first in a series of periodic updates that will summarize certain areas that...
- Directed Brokerage Ban is Bad for the Little Guy. Bienfang, Matthew B. // Securities Industry News;10/11/2004, Vol. 16 Issue 33, p5
Discusses the decision of the U.S. Securities and Exchange Commission to ban directed brokerage in 2004. Position of big brokerage firms on the decision; Effects of the ban on clearing firms; Impact of the ban on independent broker-dealers.