SEC should shift focus of enforcement, says panelist
- SEC Muni Office to Look at The Disclosure Repositories. Hume, Lynn // Bond Buyer;01/18/2001, Vol. 335 Issue 31059, p1
Reports on the plan of the United States Securities and Exchange Commission's Office of Municipal Securities (OMS) to launch its own review of the municipal disclosure repository system. Efforts of the OMS to get a first-hand look at what the problems are and how they might be solved;...
- Fuzzy Rules Apply to Brokers' Analysis. Retkwa, Rosalyn // On Wall Street;Jul2002, Vol. 12 Issue 7, p22
Focuses on rules passed by the U.S. Securities and Exchange Commission (SEC) governing brokers. Exceptions to the rule; Information on a comment letter from Robert C. Mendelson, a partner at Morgan Lewis, New York City, regarding the rules of the SEC; Discussion on a need for clarifications...
- Headless SEC Makes Suggestions. // SCOR Report;Jun2001, Vol. 8 Issue 7, p1
Focuses on the suggestions made by representatives of the United States Securities and Exchange Commission which included a definition for qualified purchaser and replacing disqualification under Rule 262 with disclosure of previous misbehavior. Reason for the proposed abandoning of the...
- Untangling disclosure legalese. // Consumers' Research Magazine;Jan1995, Vol. 78 Issue 1, p7
Reports on the plan of the United States Security and Exchange Commission (SEC) to include a `profile prospectus' summary in the standard prospectus required from securities firms. Impracticality of legislating the inclusion of prospectus summaries.
- Section 16: SEC changes the rules. Gabele, Bob; Wright, John // Corporate Board;May/Jun91, Vol. 12 Issue 68, p9
Discusses the changes in the US Securities and Exchange Commission's Section 16 provisions for insider financial reporting. Implementation of stiff fines and corporate embarrassment; Reporting process revisions; Expanded securities coverage. INSET: Section 16's greatest hits..
- SEC amends insider stock transaction reporting rules. // Corporate Board;Sep/Oct96, Vol. 17 Issue 100, p26
Reports on the Securities and Exchange Commission's (SEC) amendment of insider stock transaction reporting rules for corporations in the United States. Disclosure of company holdings and transactions by officers and directors; Exemption of certain transactions between a public company and its...
- Prodded by the Internet, SEC mulls sweeping changes on offerings. Monroe, Ann // Investment Dealers' Digest;09/15/97, Vol. 63 Issue 37, p15
Reports that the US Securities and Exchange Commission (SEC) renewed its securities regulation policy because of the changes in information technology. Requirement that documents be delivered to customers instead of simply made available; Reaction of SEC staffs regarding its regulatory approach.
- New Standards for 'Legal' Insider Trading. Stein, Stuart // Community Banker;Jul2001, Vol. 10 Issue 7, p44
Discusses the affirmative defenses that protect insider trading, in connection to the insider rules adopted by the United States Securities and Exchange Commission, effective October 2000. Adoption of the rule to make it easier to prosecute insider trading cases; Application of the affirmative...
- Banks erupt at SEC move, cite harm to asset-backeds. Elstein, Aaron // American Banker;7/30/1997, Vol. 162 Issue 145, p1
Reports on the reaction of banks and other issuers of credit card asset-backed securities to a Securities & Exchange Policy that would require issuers whose securities' charge-off rates exceed prescribed levels to file new registration statements. Claim that the regulation could delay the...