Wall Street to SEC: Financial Planning Simply a 'Know Your Customer' Tool
- FASB: Terrorist Attacks Not Extraordinary'. Koreto, Richard J. // Financial Planning;Nov2001, Vol. 31 Issue 11, p0
Reports on the decision of the U.S. Financial Accounting Standards Board to declare the September 11 terrorist attacks not an extraordinary event in 2001. Impact of the decision to financial planners; Position of Arthur Levitt, chairman of the Securities and Exchange Commission, on the decision.
- Relief And Worry At The STA! Flaherty, Robert J.; Flaherty, Brian D. // Equities;Nov/Dec2000, Vol. 48 Issue 6, p30
Focuses on issues raised during the Security Traders Association's 2000 Annual Meeting. Retiring United States Securities and Exchange Commission (SEC) Chairman Arthur Levitt Jr.'s legacy to the United States securities industry; Factors that have affected the stock market; Tone behind the SEC...
- ARTHUR LEVITT. Olsen, Pat // On Wall Street;Jun2005, Vol. 15 Issue 6, p96
The article profiles Arthur Levitt, senior adviser to The Carlyle Group. His career as a broker is explained. His personal experience with brokers is detailed. It is noted that looking back on his years as chairman of the U.S. Securities & Exchange Commission, he would have pressed harder to...
- Every click they make. Charski, Mindy // U.S. News & World Report;05/31/99, Vol. 126 Issue 21, p60
Describes the scrutiny of the United States Securities and Exchange Commission (SEC) for online brokerage services. Concerns of SEC Chairman Arthur Levitt; The SEC fine of Datek Online Brokerage Services of Iselin, New Jersey; Investigations by other regulators.
- Will it be peace in our time? Singleton-Green, Brian // Accountancy;Nov2000, Vol. 126 Issue 1287, p21
Reports on the efforts of Arthur Levitt, chairman of the United States Securities and Exchange Commission (SEC), to restrict the services that auditors can provide to their audit clients. Political pressure on Levitt; Weakness in the case of the SEC.
- Levitt to stand down. // Accountancy;Feb2001, Vol. 127 Issue 1290, p16
Reports the resignation of Arthur Levitt as chairman of the United States Securities and Exchange Commission.
- Levitt rails against mutual funds' hidden fees and unresponsiveness. Polyak, Ilana // Bond Buyer;05/18/98, Vol. 324 Issue 30395, p40
Focuses on Securities and Exchange Commission Chairman Arthur Levitt's message to mutual-fund professionals at a meeting of the Investment Company Institute regarding mutual fund managers who failed to educate shareholders and explain the risks of investing in the United States. Description of...
- Political animal. Maher, Philip // Investment Dealers' Digest;10/27/97, Vol. 63 Issue 43, p2
Focuses on US Securities and Exchange Commission chairman Arthur Levitt's political battles. Conflicts with the financial community resulting from his support to the Financial Accounting Standards Board; Rumors of his renomination; Banking industry's campaign against Levitt.
- SEC Renews Push for Open Limit Order Books. Hendrickson, Mark // Securities Industry News;04/24/2000, Vol. 12 Issue 16, p1
Reports that the United States Securities and Exchange Commission (SEC) has set a roundtable meeting to discuss SEC Chairman Arthur Levitt's interest in greater limit order transparency. Agenda; Participants; Levitt's remarks on the need for deeper transparency; Benefits from making order books...