SEC approves new G-37X form to ease some dealers' filing burdens
- SEC Will Work With Bank BDs on Broker Registration. // On Wall Street;Apr2001, Vol. 11 Issue 4, p32
Reports on the changes of broker registration made by the United States Securities and Exchange Commission. Reason for the move; Information on the Gramm-Leach-Bliley financial modernization Act; Significance of the changes to securities operations.
- SEC seeks comments on MSRB amendments. Hume, Lynn Stevens // Bond Buyer;10/23/97, Vol. 322 Issue 30258, p4
Reports that the US Securities & Exchange Commission (SEC) is looking for public comments on the proposed amendments to rules on political contributions and campaign funds in the country.
- Gramm accuses SEC of overstepping its authority. Hume, Lynn // Bond Buyer;02/03/2000, Vol. 331 Issue 30821, p4
Reports on United States Senator Phil Gramm's criticism of the United States Securities and Exchange Commission's (SEC) proposed rule to prevent federally registered investment advisers from making political contributions. Aim of preventing investment advisers from engaging in pay-to-play...
- SEC must close muni loopholes. // Crain's New York Business;7/29/96, Vol. 12 Issue 31, p8
Editorial. Urges the Securities and Exchange Commission to address the continuing scandal of awarding of municipal bond business. New York lawyers' proposal to ban bond lawyers from making campaign contributions to politicians they do business with; Need for the SEC to come up with more...
- Muni bond restrictions. Harrington, John // Crain's New York Business;4/11/94, Vol. 10 Issue 15, p34
Reports that the Securities and Exchange Commission approved tough limits on campaign money that Wall Street firms give to local government officials. SEC's rulings on municipal bond dealers.
- Feds face new pressure on corporate giving. Wheeler, Lydia // Hill;4/22/2015, Vol. 22 Issue 41, p14
The article reports on the campaign launched by a group of investors and state officials calling the U.S. Securities and Exchange Commission (SEC) to require publicly traded companies to disclose their campaign spending to shareholders.
- SHINING A LIGHT ON THE BACK OFFICE. Futrelle, David // Money;Apr2001, Vol. 30 Issue 4, p134
Reports on regulations by the United States Securities and Exchange Commission which will provide investors with information on the performance of their stock brokers. How investors are required to search for the best deals for their customers; Reports from the SEC which suggests that brokers...
- Big Brother Wants More Dealer Disclosure. // Traders Magazine;Sep2000, Vol. 13 Issue 172, p10
Focuses on the proposed rules of the United States Securities and Exchange Commission requiring the disclosure of information about the execution policies of stockbrokers. Overview of the proposals; Benefits of the regulation for investors; Analysis of the effectiveness of the rules.
- 1-MINUTE INTERVIEW. Nazareth, Annette // Money;Oct2000, Vol. 29 Issue 10, p138
Interviews Annette Nazareth, director of the United States Securities and Exchange Commission's (SEC) division of market regulation. Reasons for proposed rules of the SEC requiring brokerages to disclose where and at what price they get their customers' orders filled; Expectation that the rules...