TITLE

SEC Agrees to End Muni Testing Exemptions

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2004
SOURCE
Bond Buyer;10/26/2004, Vol. 350 Issue 31997, p7
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that the U.S. Securities and Exchange Commission has approved a change to the Municipal Securities Rulemaking Board's Rule G-3 on professional qualifications that requires all registered municipal market participants to be tested periodically on the regulatory portion of the board's continuing education program. But the Securities Industry/Regulatory Council on Continuing Education, a group of about 20 individuals representing self-regulatory organizations and other industry officials from the market, decided late last year that the exemptions should be repealed so that everyone receives training regarding new products, trading strategies, and regulatory concerns.
ACCESSION #
14849123

 

Related Articles

  • MSRB: Dealers Must Disclose Bonds' OID Status at or Before Trade. Hume, Lynn // Bond Buyer;1/6/2005, Vol. 351 Issue 32044, p5 

    The article reports that the Municipal Securities Rulemaking Board (MSRB) filed with the U.S. Securities and Exchange Commission a change to its Rule G-17 on fair dealing explicitly stating that dealers must disclose to investors at or before the time of trade whether the bonds they are buying...

  • SEC report card. Ferrara, Ralph C.; Parker, Riva Khoshaba; Migas, Joseph J. // Directors & Boards;2007 Annual Report, Vol. 31 Issue 4, p12 

    The article examines the regulatory judgment and rulemaking on several issues by the U.S. Securities and Exchange Commission (SEC) in 2006. SEC released its principles-based executive compensation disclosure rules in January 2006. The agency's investigations into options backdating in 2006...

  • SEC Proposes Rules to Better Track Market Trades, Monitor Market Activity and Prevent Market Disruptions. Elifoglu, I. Hilmi; Fitzsimons, Adrian P.; Lange, Gerard A. // Bank Accounting & Finance (08943958);Aug/Sep2010, Vol. 23 Issue 5, p41 

    The article focuses on the new rules proposed by the U.S. Securities and Exchange Commission (SEC) for tracking market trades, monitoring market activity and preventing market disruptions. Under Section 11A (a) (3) (B) of the Securities Exchange Act of 1934, the new SEC- proposed Rule 6513 calls...

  • Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;2/21/2013, Vol. 78 Issue 35, p12116 

    This article presents a notice of designation of a longer period for the U.S. Securities and Exchange Commission action on proposed rule change to establish the Market Quality Program.

  • SEC Proposes Larger Trader Reporting System.  // Venulex Legal Summaries;2010 Q2, Special section p1 

    The article provides information on the proposed Rule 13h-1 published by the U.S. Securities and Exchange Commission (SEC) on April 14, 2010. The proposed rule seeks to establish a large trader reporting system that will help the SEC acquire information about traders who are engaged in large...

  • SEC Frets Over Option Marts' Quote Plans. Mehta, Nina // Traders Magazine;Jan2007, Vol. 20 Issue 262, p12 

    The article reports on the reaction of the Securities and Exchange Commission over the Options Marts' quote plans in the U.S. The regulator is unsure whether plans will reduce quote traffic as believed once some options are quoted in penny increments. These quote mitigation plans are a response...

  • New Soft Dollar Rules: Is Your Firm Ready?  // Financial Planning;Mar2007, Vol. 37 Issue 3, p26 

    The article discusses the issues that should be considered in engaging in soft dollar relationships as the U.S. Securities and Exchange Commission guidelines on soft dollars takes effect in January 2007. The guidelines have altered the types of research and brokerage services that fall within...

  • INSIDER INSIGHTS: Top Insider Trades 4/23/12. Moreland, Jonathan // Registered Rep Exclusive Insight;4/25/2012, p3 

    The article introduces a list of the top 10 mainly open-market insider purchases and sales filed at the U.S. Securities and Exchange Commission on April 23, 2012 as ranked by dollar value.

  • SEC's Cox Talks on New Transparency Rules. Ackerman, Andrew // Bond Buyer;4/23/2008, Vol. 364 Issue 32863, p1 

    The article focuses on proposed rules on rating transparency in the U.S. Christopher Cox, Securities and Exchange Commission (SEC) chairman, said that SEC staff will propose the rules in the future to strengthen accountability among participants to better compare one rate with another. Cox added...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

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

Try another library?
Sign out of this library

Other Topics