Rule change stalled funds
- Complication for Citi Handover to Legg? // American Banker;9/7/2005, Vol. 170 Issue 172, p20
Reports that the New York Stock Exchange has ruled that controversial "broker votes" cannot be used to approve new management contracts for the Citigroup Inc. mutual funds that Legg Mason Inc. will acquire. Influence of activist shareholders of closed-end funds and pressure from the Securities...
- ‘Open’ Season. Scroeder, Mary // Securities Industry News;12/17/2001, Vol. 13 Issue 49, p1
Reports the approval of Securities and Exchange Commission (SEC) in the United States to New York Stock Exchange (NYSE) to charge the fees for NYSE Open Book. Implications of the approval to the NSYE; Provisions in the NSYE agreements base after the approval of SEC; Services of the NYSE Open Book.
- Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)--Equities and Related Supplementary Material. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;2/20/2013, Vol. 78 Issue 34, p11928
The article focuses on the rule change proposed by the New York Stock Exchange (NYSE) LLC and NYSE MKT LLC to the U.S. Securities and Exchange Commission (SEC) to delete NYSE rules and related supplementary material.
- Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades and Stock/Options Orders To Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security. O'Neill, Kevin // Federal Register (National Archives & Records Service, Office of;3/27/2013, Vol. 78 Issue 59, p18660
A notice is presented stating that on March 19, 2013 New York Stock Exchange (NYSE) MKT LLC filed with the U.S. Securities and Exchange Commission a proposal to amend the definition of Complex Orders, Complex Trades and Stock/Options orders to accommodate the trading of option contracts...
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;8/15/2012, Vol. 77 Issue 158, p49044
The article focuses on a notice issued by the U.S. Securities and Exchange Commission regarding designation of a longer period for commission action on the proposed rule change filed by New York Stock Exchange (NYSE) Arca.
- Big Board Readies New Bond Platform. Trotta, Elizabeth // Investment Dealers' Digest;12/11/2006, Vol. 72 Issue 47, p5
The article focuses on the introduction of a new bond trading system by the New York Stock Exchange (NYSE) that would replace the current Automated Bond System. However, the said system awaits the approval of the Securities and Exchange Commission. The NYSE will launch the new platform and will...
- SEC Looking at SROs, But Munis Are Less of a Concern, Sources Say. Hume, Lynn // Bond Buyer;10/31/2003, Vol. 346 Issue 31752, p1
Reports that the U.S. Securities and Exchange Commission (SEC) is examining the governance structures of all self-regulatory organizations (SRO) in the securities markets, with a greater focus on those overseeing equities and corporate debt. SEC chairman William Donaldson's endorsement of the...
- Congressman Calls for Collars. Mehta, Nina // Traders Magazine;Nov2008, Vol. 21 Issue 288, p30
The article reports on United States Congressman Jim Markey's call on the Securities and Exchange Commission (SEC) to force the New York Stock Exchange (NYSE) to reintroduce collars on index-arbitrage trading. According to Markey, the SEC had acted irresponsibly when it allowed Rule 80A to be...
- Ties that Bond: Dual Class Common Stock and the Problem of Shareholder Choice. Gordon, Jeffrey N. // California Law Review;Jan1988, Vol. 76 Issue 1, p3
Professor Gordon argues that the Securities and Exchange Commission (SEC) should adopt a rule enabling the New York Stock Exchange (NYSE) to maintain its traditional rule forbidding NYSE firms from recapitalizing with dual class common stock. After critically evaluating the purported...