SECURITIES IN REGISTRATION: DEBT
- SEC Provides Guidance for Compliance with Current Disclosure Obligations under Management's Discussion and Analysis of Financial Condition. // Venulex Legal Summaries;2002 Q1, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) has issued a statement on January 22, 2002, outlining steps that domestic and foreign public firms should consider in meeting their disclosure obligations. These obligations may be under Item 303 of Regulation S-K, Item...
- SEC Sample Letter on Cash Flow. // Practical Accountant;Apr2005, Vol. 38 Issue 4, p22
This article reports that the U.S. Securities and Exchange Commission's division of corporation finance has sent letters to certain registrants related to their presentation of cash receipts from inventory sales in their consolidated statements of cash flows. The letter was directed to companies...
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;9/26/2005, Vol. 71 Issue 36, p58
Lists new equity initial public offering registered with the U.S. Securities and Exchange Commission but have not yet come to market.
- SEC Proposes Rules to Better Track Market Trades, Monitor Market Activity and Prevent Market Disruptions. Elifoglu, I. Hilmi; Fitzsimons, Adrian P.; Lange, Gerard A. // Bank Accounting & Finance (08943958);Aug/Sep2010, Vol. 23 Issue 5, p41
The article focuses on the new rules proposed by the U.S. Securities and Exchange Commission (SEC) for tracking market trades, monitoring market activity and preventing market disruptions. Under Section 11A (a) (3) (B) of the Securities Exchange Act of 1934, the new SEC- proposed Rule 6513 calls...
- INSIDER INSIGHTS: Top Insider Trades 4/23/12. Moreland, Jonathan // Registered Rep Exclusive Insight;4/25/2012, p3
The article introduces a list of the top 10 mainly open-market insider purchases and sales filed at the U.S. Securities and Exchange Commission on April 23, 2012 as ranked by dollar value.
- Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;2/21/2013, Vol. 78 Issue 35, p12116
This article presents a notice of designation of a longer period for the U.S. Securities and Exchange Commission action on proposed rule change to establish the Market Quality Program.
- SEC Proposes Larger Trader Reporting System. // Venulex Legal Summaries;2010 Q2, Special section p1
The article provides information on the proposed Rule 13h-1 published by the U.S. Securities and Exchange Commission (SEC) on April 14, 2010. The proposed rule seeks to establish a large trader reporting system that will help the SEC acquire information about traders who are engaged in large...
- SEC Frets Over Option Marts' Quote Plans. Mehta, Nina // Traders Magazine;Jan2007, Vol. 20 Issue 262, p12
The article reports on the reaction of the Securities and Exchange Commission over the Options Marts' quote plans in the U.S. The regulator is unsure whether plans will reduce quote traffic as believed once some options are quoted in penny increments. These quote mitigation plans are a response...
- New Soft Dollar Rules: Is Your Firm Ready? // Financial Planning;Mar2007, Vol. 37 Issue 3, p26
The article discusses the issues that should be considered in engaging in soft dollar relationships as the U.S. Securities and Exchange Commission guidelines on soft dollars takes effect in January 2007. The guidelines have altered the types of research and brokerage services that fall within...