SEC upholds judge's decision to bar broker
- SEC Judge: Former Merrill Broker Must Pay. // Bond Buyer;11/27/2001, Vol. 338 Issue 31272, p36
Reports that the U.S. Securities and Exchange Commission's chief administrative law judge Brenda P. Murray has ordered saleswoman Laurie Jones Canady to pay for violating the securities fraud laws regarding municipal unit investment. Amount that Canady has to pay for violation of law; Allegation...
- MSRB files amendments to rule G-15 proposal. Hume, Lynn // Bond Buyer;04/21/99, Vol. 328 Issue 30624, p4
Cites the amendments filed by the Municipal Securities Rulemaking Board (MSRB) with the United States Securities and Exchange Commission that are to be added to proposed changes to Rule G-15 on automated confirmation and acknowledgment of customer transactions.
- Fragmentation Split. Hendrickson, Mark // Securities Industry News;03/06/2000, Vol. 12 Issue 10, p1
Examines the proposal of the United States Securities and Exchange Commission on the concept of fragmentation in the securities market structure. Concerns over the issue of a central limit-order book with price-time priority; Preference of the market for improved market linkages to reduce...
- SEC Considers Major Changes to Mutual Fund Law. Lystra, Tony // On Wall Street;Jan2003, Vol. 13 Issue 1, p34
Reports that the U.S. Securities and Exchange Commission (SEC) is considering changes in major elements of the Investment Company Act, the law governing mutual funds. Intention behind the changes; Comments from SEC official about the abbreviated portfolio disclosure; Issues the agency will...
- Introduction: The Securities and Exchange Commission's Market 2000 Report: Harbinger of radical... Hazen, Thomas Lee // Journal of Corporation Law;Spring94, Vol. 19 Issue 3, p437
Presents an overview of the report of the US Securities and Exchange Commission (SEC) titled `Market 2000.' Focus on the development in the operation of the United States securities markets; Evaluation of the SEC's management of trading volume and technologies; View on increased market...
- Comments on the SEC's Market 2000 Report: On, among other things, deference to SROs, the mirage... Oesterle, Dale A. // Journal of Corporation Law;Spring94, Vol. 19 Issue 3, p483
Comments on the report of the US Securities and Exchange Commission (SEC) titled `Market 2000.' Focus on the agency's deference to self-regulatory organizations (SROs), stock price improvement, property rights in order flow and SEC incrementalism; History of SEC's oversight of SROs; Competitive...
- The SEC's Market 2000 Report. Bronfman, Corinne; Lehn, Kenneth // Journal of Corporation Law;Spring94, Vol. 19 Issue 3, p523
Comments on the Securities and Exchange Commission's report titled `Market 2000.' Examination of the factor which account for the changes in the securities industry structure; Effect on supply and demand of the market for trading services; Background of the study; Critique of the report.
- The SEC Market 2000 Report: A sensible approach to future market regulation. Clapman, Peter C. // Journal of Corporation Law;Spring94, Vol. 19 Issue 3, p553
Proposes regulatory framework for the US Securities and Exchange Commission to permit innovation while minimizing abuses and justifying greater investor confidence in the securities market place. Historical developments of the industry; Use of historical analysis as framework; Effect of...
- ECN Execs Predicting OK for SuperMontage. Hendrickson, Mark // Securities Industry News;08/07/2000, Vol. 12 Issue 30, p1
Reports on the pending United States Securities and Exchange Commission (SEC) approval of the proposed SuperMontage trading system. Opposition against the proposed trading system; Likelihood that the proposal would be approved by SEC.