SECURITIES IN REGISTRATION: EQUITY
- SEC's Report Provides Useful Information On Mutual Fund Fees And Recommends Improved Fee Disclosure: GAO-01-655R. // GAO Reports;5/3/2001, p1
This correspondence (1) discusses the Securities and Exchange Commission's (SEC) report on mutual fund fee disclosures and (2) reviews SEC's response to GAO's recommendations on improving fee disclosure. The results of SEC staff's comprehensive analyses and other findings generally corroborate...
- Reg NMS Delays Specified. Bresiger, Gregory // Traders Magazine;Jun2006, Vol. 19 Issue 254, p8
The article reports on the United States Securities and Exchange Commission's announcement that the Regulation NMS trade-through rule will be phased in over a year from October 2006 to October 2007. The new deadlines were set following admissions that the original June 29, 2006 deadline was...
- What Foreign Stocks Don't Tell You. Greenberg, Herb // Fortune;6/21/1999, Vol. 139 Issue 12, p208
Reports on the lack of financial reports filed by foreign companies who trade stocks in the United States. How they use loopholes in the US securities laws to avoid filing reports to the Securities and Exchange Commission (SEC); Other requirements; Rise in number of foreign stocks being traded...
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;6/28/2004, Vol. 70 Issue 26, p62
Lists planned equity offerings registered with the U.S. Securities and Exchange Commission as of June 2004.
- More beefs about stockbrokers. Wollenberg, Yvonne Chilik // Medical Economics;7/11/2003, Vol. 80 Issue 13, p22
Reports on the increase in the number of complaints and questions filed by investors with the U.S. Securities and Exchange Commission (SEC) for the year 2002. Most common complaint; Percentage increase in the number of complaints that brokers failed to follow customers' instructions.
- BLACK WEALTH INITIATIVE. Hunte, Clair // Black Enterprise;May2002, Vol. 32 Issue 10, p63
Focuses on the Electronic Data Gathering, Analysis and Retrieval system of the U.S. Securities and Exchange Commission. Reasons for being confident in choosing stocks; Features of the system; Information on common forms investors may face.
- Strategies For Dealing With Shareholder Proposals. // Venulex Legal Summaries;2008 Q4, Special section p1
The article discusses the strategies for shareholder proposals being implemented by the Securities and Exchange Commission (SEC). With the new rules the company or its outside legal counsel must verify that the proposal complies with the procedural rules and determine is there is a significant...
- Broadcom's Stock Woes Double. Taylor, Colleen // Electronic News;9/11/2006, Vol. 52 Issue 37, p49
The article focuses on the announcement by Broadcom Corp. that it has supplemented its preliminary report regarding its internal equity award review. The company said that it will double the additional non-cash stock-based compensation expense than it had previously forecast. Broadcom stated...
- "In Connection With": The Need for Limitation to SEC Rule 10b-5 in Dissemination of Misleading Information Cases. McCarthy, Brendan J. // Case Western Reserve Law Review;Summer2004, Vol. 54 Issue 4, p1347
Explains that the "in connection with" requirement of SEC Rule 10b-5 is an independent element, and courts should not mix it with other elements of a cause of action. Legislative intent with respect to section 10(b) of the 1934 Act; Analysis of major case law precedent; Recent trends in...