Nondealer FAs sign anti-pay-to-play pact
- Levitt to call for rule barring investment adviser pay-to-play. Hume, Lynn // Bond Buyer;03/30/99, Vol. 327 Issue 30609, p5
Reports on the call of United States Securities and Exchange Commission chairman Arthur Levitt to bar investment adviser pay-to-play. Use of pay-to-play practices to obtain pension and investment business; Adoption of a G-37-like rule.
- 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...
- SEC's Levitt proposes changing law that plays role in yield-burning suit. Hume, Lynn // Bond Buyer;04/14/99, Vol. 328 Issue 30619, p36
Reports on the proposal of United States Securities & Exchange Commission (SEC) chairman Arthur Levitt to loosen a provision of the Investment Advisers Act of 1940 and its implication to the case of SEC against Dain Rauscher Inc. Wide range of reaction to the proposal; Assurances from SEC...
- 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...
- Senate panel approves Levitt for SEC. // American Banker;7/23/1993, Vol. 158 Issue 140, p2
Reports on the Senate Banking Committee's unanimous approval of the appointment of Arthur Levitt Jr as chairman of the Securities and Exchange Commission. Other nominations approved.