TITLE

Latest SEC Spat Renews Old One Over 'Push-Outs'

AUTHOR(S)
Paletta, Damian
PUB. DATE
October 2004
SOURCE
American Banker;10/18/2004, Vol. 169 Issue 200, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Examines how in 2004, five years after the Gramm-Leach Bliley Act became law, financial services executives still have not been told which securities activities can be performed by banks and which have to be "pushed out" to separate affiliates regulated by the Securities and Exchange Commission. Comments by SEC Chairman, William H. Donaldson, on a proposal expected to be finished by 2005; Description of the debate over the proposal.
ACCESSION #
14728529

 

Related Articles

  • Broker-Dealer Rule Postponed by SEC. Paletta, Damian // American Banker;11/3/2004, Vol. 169 Issue 212, p3 

    Announces that the Securities and Exchange Commission postponed a controversial rule that would determine which broker-dealer activities may be performed by banks and which must be conducted by SEC-regulated affiliates. Details of the rule, known as Regulation B; Reasons why the rule was...

  • An Extra Month for Regulation B Comment. Paletta, Damian // American Banker;7/26/2004, Vol. 169 Issue 142, p19 

    Announces that the U.S. Securities and Exchange Commission has given the public until September 2004 to comment on a recent proposal to update the rules about which securities activities of banks must be housed in a separately registered broker-dealer. Reasons for the extension of the comment...

  • New Direction for Reg B? Paletta, Damian // American Banker;6/6/2005, Vol. 170 Issue 107, p1 

    Speculates on the impact of the leadership change at the U.S. Securities and Exchange Commission (SEC), as Chairman William H. Donaldson will step down at the end of June 2005. Nomination of Representative Christopher Cox of California to succeed Donaldson; How Cox would face many unresolved...

  • More Comment Time Asked on Regulation B. Paletta, Damian // American Banker;7/9/2004, Vol. 169 Issue 131, p4 

    Examines how seven financial services trade groups wrote the Securities and Exchange Commission, asking it to give industry officials more time to comment on a proposal that would update which securities activities at banks are exempt from broker-dealer oversight. How the trade groups feel the...

  • 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;...

  • Wachovia: SEC May Take Action Related to Probes. Boraks, David // American Banker;8/4/2004, Vol. 169 Issue 149, p2 

    Announces that the U.S. Securities and Exchange Commission is considering enforcement actions related to investigations of stock purchases and trading practices in Wachovia Corp.'s mutual fund business. How the SEC believes that there is enough evidence to pursue charges; Details of Wachovia's...

  • Regulation FD Not Causing Blockage.  // American Banker;7/25/2001, Vol. 166 Issue 142, p20 

    Reports that the Securities and Exchange Commission's rule forbidding selective disclosure of important company news has not hampered information flow in securities markets as of July, 2001. Study on several companies by researchers; Details of the report; Details of Regulation FD.

  • Putnam in $110M Settlement. Ackermann, Matt // American Banker;4/12/2004, Vol. 169 Issue 69, p7 

    Putnam Investments announced Thursday that it had agreed to a $110 million settlement of U.S. Securities and Exchange Commission (SEC) and Massachusetts regulators' allegations that the Boston, Massachusetts, fund company had allowed market timing of its funds. The agreement with the SEC calls...

  • SEC Chair's Mission: Fix Fund Industry. Checkler, Joseph // Money Management Executive;11/17/2003, Vol. 11 Issue 45, p1 

    Discusses the efforts of U.S. Securities and Exchange Commission Chairman William H. Donaldson to reform the mutual fund industry. Participation of Donaldson in the annual meeting in Boca Raton, Florida; Schedule for the testimony of Donaldson at the U.S. Senate Banking Committee; Proposals to...

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics