SECURITIES IN REGISTRATION: DEBT
- Wider Probe of Wachovia Share Purchases. Boraks, David // American Banker;4/2/2003, Vol. 168 Issue 63, p19
Reports on the expansion in the scope of Wachovia Corp.'s share purchases agreement by the U.S. Securities and Exchange Commission (SEC). Companies investigated by the SEC; Opinion expressed by Wachovia's chairman and chief executive officer G. Kennedy Thompson on the SEC investigation.
- Despite SEC Probe, Higher Estimates for Wachovia. Rieker, Matthias // American Banker;4/3/2003, Vol. 168 Issue 64, p20
Reports that analysts are manipulating on the first-quarter estimates for Wachovia Corp. which cites that strong revenues, especially in trading and lower-than-expected integration costs will lift earnings. Disclosure of the Securities and Exchange Commission investigation having no effect on...
- PFP BRIEFS. // Accounting Today;11/8/2004, Vol. 18 Issue 20, p18
Presents news briefs on personal finance planning in the U.S. as of November 2004. Acquisition of wealth advisory firm Tanager Financial Services Inc. by Wachovia Corp. in Charlotte, North Carolina; Information on a survey conducted by MetLife concerning views of U.S. citizens on long term...
- For Business Info, Ask EDGAR. Groman, Marc // ABA Journal;Jan2000, Vol. 86 Issue 1, p63
Provides information on the use of Electronic Data Gathering, Analysis and Retrieval, a database on the Website of the United States Securities and Exchange Commission, in searching business information. Overview of the features of the database; Example of the use of the database in gathering...
- SEC Law.Com Offers More Than Memorable Conversation. Griffith, Cary // Corporate Legal Times;Apr2001, Vol. 11 Issue 113, p16
Recommends a web site for corporate lawyers interested in securities law or the United States Securities and Exchange Commission. Discussion forums; Problems with search engine; Misplaced banner advertisements.
- An SEC calculator. // Practical Accountant;Jun99, Vol. 32 Issue 6, p24
Reports on the United States Securities and Exchange Commission's development of its own mutual fund cost comparison calculator at its Web site. Calculated fees; Prevalence of online calculator on commercial sites.
- A Fund by Any Other Name. Revell, Janice // Fortune;3/5/2001, Vol. 143 Issue 5, p214
Discusses name changes of mutual funds as of March, 2001. How many changed their name to more accurately describe their business while others were changed for marketing strategies; Announcement by the United States Securities and Exchange Commission which requires that a percentage of a mutual...
- SECURITY IN REGISTRATION: DEBT. // Investment Dealers' Digest;8/21/2006, Vol. 72 Issue 33, p31
A list of corporate bodies with debts that are recorded in the Securities and Exchange Commission in the U.S. The organizations include American States Water, water utility and holding company, in San Dimas, California, Indiana Michigan Power, electric utility holding corporation and Koppers...
- MANDATORY ARBITRATION IN CONSUMER FINANCE AND INVESTOR CONTRACTS. BARR, MICHAEL S. // New York University Journal of Law & Business;2015Specialissue, Vol. 11, p793
Mandatory pre-dispute arbitration clauses are pervasive in consumer financial and investor contracts--for credit cards, bank accounts, auto loans, broker-dealer services, and many others. These clauses often ill serve households. Consumers are typically presented with contracts on a "take it or...