- JeffCo, Alabama Financial Adviser Address Disclosure at SEC Hearing. SIGO, SHELLY // Bond Buyer;8/2/2011, Vol. 377 Issue 33558, p3
The article offers information on the U.S. Securities and Exchange Commission (SEC) field hearing in Birmingham, Alabama which focused on municipalities suffering from budgetary distress and troubled financings in the primary and secondary markets.
- SEC Reports on Municipal Securities Market. // New Jersey CPA;Nov/Dec2012, Issue 36, p6
The article presents information on a report issued by the U.S. Securities and Exchange Commission (SEC) to help improve the structure of it's municipal securities market and enhance investor disclosures.
- SEC Planning to Offer Staff Report on Municipal Market. QUIGLEY, JOAN // Bond Buyer;8/1/2011, Vol. 377 Issue 33557, p4
The article reports on the plan of the Securities and Exchange Commission to issue a staff report regarding the municipal securities market in the U.S. in 2011.
- SEC aims to curb firms' conflicts of interest with rule. Schroeder, Peter // Hill;9/20/2011, Vol. 18 Issue 127, p18
The article reports on the move of the U.S. Securities and Exchange Commission (SEC) to seek for ways to prevent financial companies from making and marketing securities.
- SECURITIES IN REGISTRATION. // Investment Dealers' Digest;1/28/2008, Vol. 74 Issue 4, p32
The article lists the planned new offerings that have been registered with the Securities and Exchange Commission including Aspenbio Pharma, China Display Technologies, and Imageware Systems.
- Securities in Registration. // Investment Dealers' Digest;2/18/2011, Vol. 77 Issue 7, p16
A list is presented depicting several securities registered with the U.S. Securities & Exchange Commission (SEC) which is divided into debt and equity including the CVD Equipment Corp. located in Ronkonkama, NY, the Energy Conversion Devices Inc located in Rochester Hills, Michigan, and the...
- Submission for OMB Review; Comment Request. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;3/13/2014, Vol. 79 Issue 49, p14310
The article reports on a notice submitted by the U.S. Securities and Exchange Commission (SEC) requesting approval of extension of the previously approved collection of information provided for in Rule 17a-22 under the Securities Exchange Act of 1934.
- Sunshine Act Meeting. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;3/13/2014, Vol. 79 Issue 49, p14316
The article announces that the U.S. the Securities and Exchange Commission (SEC) will hold an Open Meeting on March 12, 2014.
- SEC Officials Open to Changing 15c2-12 Disclosure Amendments. Hume, Lynn // Bond Buyer;11/12/2001, Vol. 338 Issue 31263, p1
Reports on the decision of the U.S. Securities and Exchange Commission (SEC) officials to rethink some aspects of Rule 15c2-12's secondary market disclosure requirements, in view of the technological advancements that have occurred since the issuance of the rule. Uncertainties regarding the...