SEC to Issue Proposed Rules and Concept Release on SROs
- Once Again, Section 31 Reform Fails. Bresiger, Gregory // Traders Magazine;Dec2002, Vol. 15 Issue 205, p14
Reports on the adjournment of the United States Congress in November 2002 without passing a new budget for the U.S. Securities and Exchange Commission. Application of the so-called 31(a) rate on stock exchanges; Other security industry fees which had been planned to be dropped but were not.
- I Survived an SEC Audit. Darchuck, Dan // Financial-planning.com;3/2/2015, p3
A personal narrative is presented which explores the author's experience of being audited for several months by the U.S. Securities and Exchange Commission (SEC) as a registered investment advisor (RIA).
- Solicitation ban lifted, but advertise your offering properly. TAYLOR, THOMAS R. // Enterprise/Salt Lake City;8/19/2013, Vol. 43 Issue 1, pF8
The article addresses the requirements of Rule 506(c) of Regulation D under the Securities Act of 1933, as amended by the U.S. Securities and Exchange Commission (SEC) on July 10, 2013 as required by the 2012 Jumpstart Our Business Startups Act. The amended rule removed the ban on general...
- When disaster strikes. // Journal of Financial Planning;Jan2005 Supplement, Vol. 18, p14
The article discusses disaster planning for financial planners. The author argues that it is critical for financial planners to develop disaster preparedness and business continuity plans. The article discusses how businesses in Florida used disaster planning to successfully weather the 2005...
- News Flash: Dodd-Frank Act Delays Continue. Mont, Joe // Compliance Week;Apr2013, Vol. 10 Issue 111, p14
The article focuses on the provisions and reform policies of the U.S. Dodd-Frank Act of 2010 which are creating problems for the U.S. business enterprises to plan compliance policies because of the delays in implementing the regulations. Other topics include the Volcker Rule related to...
- SEC's Budget Increases by Half of Requested Amount. Bikard, Arielle // Compliance Week;May2011, Vol. 8 Issue 88, p9
The article reports that the 2011 budget allotted to the U.S. Securities and Exchange Commission (SEC) will increase by 74 million as revealed by the Senate Committee on Appropriation's summary of its budget bill. The budget increase is only 39 percent of what have been needed to meet Dodd-Frank...
- BULL IN THE CHINA MARKET: THE GAP BETWEEN INVESTOR EXPECTATIONS AND AUDITOR LIABILITY FOR CHINESE FINANCIAL STATEMENT FRAUDS. BARBER, PHILLIP // Duke Journal of Comparative & International Law;Winter2013, Vol. 24 Issue 2, p349
The article focuses on the Chinese securities frauds case In re Longtop Financial Technologies Ltd. Securities Litigation. Topics discussed include circumstances that have left U.S. capital markets vulnerable to frauds by U.S listed Chinese firms, the efforts of the U.S Securities and Exchange...
- Bush's Proposed $100M for SEC Called Chump Change by Lawmakers. Hume, Lynn // Bond Buyer;7/10/2002, Vol. 341 Issue 31424, p7
Reports on the budget request by U.S. President George W. Bush from the Securities and Exchange Commission (SEC) for the fiscal year 2003. Concerns of the Democrats over the request; Response of SEC Chairman Harvey Pitt on the issue; Appropriations for the budget.
- Budget seeks $45.8M more for regulators. Hume, Lynn // Bond Buyer;02/08/2000, Vol. 331 Issue 30824, p4
Reports on the fiscal 2001 budget proposed by United States President Bill Clinton for the US Securities and Exchange Commission. Increase in budget allocation for the agency; Proposed increase as needed for the agency's expansion of its capabilities to fight electronic securities fraud.