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.
- 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...
- Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;4/2/2013, Vol. 78 Issue 63, p19791
The article offers information on a public notice issued by the U.S. Securities and Exchange Commission and also discusses proposed rule changes by the agency for the self regulatory organizations including NASDAQ Stockmarket LLC. It also provides purpose for changing the fees and also discusses...
- SEC OKs FINRA BrokerCheck Link Rule. Corbin, Kenneth // Financial-planning.com;10/13/2015, p1
Commission signs off on FINRA's proposal to compel brokers to include a link to the database on their websites after abandoning some of the more contentious aspects of the rule.
- Ordinary people may really get to trade like pros. Smith, Anne Kates // U.S. News & World Report;12/11/2000, Vol. 129 Issue 23, p78
Focuses on regulations passed by the United States Securities and Exchange Commission which will require brokers to disclose information on their trading practice. How trades can be routed to a more competitive market for a greater profit; Requirement of the regulation that brokers disclose...
- 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...