SEC Extends Temporary Exemption to Weigh Bank Rules
- SEC Reassures Banks on Broker Rule. Garver, Rob // American Banker;2/25/2002, Vol. 167 Issue 37, p24
Focuses on the reassurance of the Securities and Exchange Commission for the banking industry to comply with proposed changes to broker-dealer registration requirements in the U.S. Provisions of the Gramm-Leach-Bliley Act; Extension on the compliance date; Issuance of the final rule.
- Fitzgerald Barred, Ordered to Pay $300,000. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p37
Reports a ban by the Securities and Exchange Commission on David Fitzgerald from association with any brokers for securities fraud charges in the U.S. Involvement of Fitzgerald with broker-dealer Pacific Genesis Group; Imposition of a monetary penalty.
- SEC Narrows Scope of Final Rule Requiring Analysts to Certify Views. Hume, Lynn // Bond Buyer;2/7/2003, Vol. 343 Issue 31569, p5
Focuses on the U.S. Securities and Exchange Commission's (SEC) final rule that requires broker-dealer analysts to certify the truthfulness of their reports and public appearances. Disclosure regarding compensation that needs to be certified; People to whom the rule does not apply; Complaints by...
- What to Do During Trading Halts. Burton, Peter // On Wall Street;Mar1999, Vol. 9 Issue 3, p29
Provides information on Bulletin 8 of the United States (US) Securities and Exchange Commission (SEC) which deals with the procedure for customer orders affected by market-wide trading halts. Distinctions between halts that end before the trading day is over and those that extend into regular...
- New wrinkle emerging in global risk. Blount, Edmon // ABA Banking Journal;Oct96 Supplement, Vol. 88, p64
Discusses the Securities Exchange Commission policies regarding violation of its suitability regulations with reference to bankers informing customers on systemic risk. Reference to the suit which civic officials in western Pennsylvania filed against a Long Island broker. Why bankers should...
- MSRB Sends Muni-Fund Securities Qualifications Proposal to SEC. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p3
Reports proposal for regulatory changes in the Securities and Exchange Commission policy on professional qualifications by the Municipal Securities Rulemaking Board in the U.S. Focus on Rule G-3; Concept of municipal fund securities; Efforts of the board to gather public opinion on the proposed...
- Congressman Fights to Amend 1995 Reform Act. Rubenstein, Bruce // Corporate Legal Times;May2002, Vol. 12 Issue 126, p16
Focuses on the view of the U.S. Congress on the amendment plan for the Private Securities Litigation Act of 1995. Effect of the amendment on fraud cases; Impact of the plan in business enterprise; Concept of the Reform Act.
- Section 12(1) and the Imperfect Exempt Transaction: the Proposed I & I Defense. Schneider, Carl W.; Zall, Charles C. // Business Lawyer;Jul73, Vol. 28 Issue 4, p1011
Focuses on the proposal of the rules clarifying the terms important exemptions under the Securities Act of 1933 by the United States Securities and Exchange Commission. Content of the proposed rules; Substantive difficulties raised by the Rules; Limitations on the nature of permitted offers.
- THE SEC'S NEW RULE 144. Miller, Stephen R.; Seltzer, Richard S. // Business Lawyer;Jul72, Vol. 27 Issue 4, p1047
Features Rule 144 of the Securities and Exchange Commission regarding the objective conditions for the sale without registration under the Securities Act of 1933 in the United States. Date of effectivity; Background of the Rule; Provisions of Rule 144.