SEC: Labels, roles often don't matter in disclosure cases
- E-Disclosure Problems May Be Confined to Small Issuers. Carpenter-Kasprzak, Sheri // Bond Buyer;12/07/2000, Vol. 334 Issue 31032, p7
Reports on the electronic disclosure compliance problems being tracked by the United States Securities and Exchange Commission. Problems with small, one-time bond issuers; Absence of access to e-mail or the Internet.
- SEC Exposes Deficiencies In Disclosure. Hume, Lynn // Bond Buyer;3/15/2002, Vol. 339 Issue 31345, p1
Reports on the study related to deficiencies in disclosure by the U.S. Securities and Exchange Commission. Noncompliance of secondary-market disclosure obligation by several municipal issuers; Inconsistence of the availability of disclosure documents among repositories; Proposal of improving...
- SEC issues advice on management disclosure sections for required filings. // Corporate Board;Jan/Feb90, Vol. 11 Issue 60, p27
Reports on the US Securities & Exchange Commission's publication of guidelines regarding management disclosures of financial condition and results of operations sections in filings made with the commission. Results of a review project on various disclosure issues.
- SEC settles with 4 local governments on orange county-related disclosure. Figler, Andrea // Bond Buyer;07/02/99, Vol. 329 Issue 30675, p4
Reports that four local governments have agreed to stop negligently publishing debt offering statements in California according to the United States Securities and Exchange Commission. Need for accuracy in disclosure statements; Arbitrage purposes.
- SEC Scales Back Order-Routing Disclosure Rules. Hendrickson, Mark // Securities Industry News;11/27/2000, Vol. 12 Issue 44, p6
Reports that the United States Securities and Exchange Commission has scaled back order-routing disclosure rules. Quality disclosures required in monthly reports by market centers; Provisions of Rule 11Ac1-5.
- Calif. Officials: What SEC Probe? Saskal, Rich // Bond Buyer;1/10/2011, Vol. 375 Issue 33447, p1
The article discusses the report from the newspaper "The New York Times" regarding the investigation conducted by the U.S. Securities and Exchange Commission (SEC) on the pension disclosure practices in Alameda, California.
- SEC's Haines Says Review Shows Problems With Repositories. Hume, Lynn // Bond Buyer;06/05/2001, Vol. 336 Issue 31153, p4
Reports on the United States Securities and Exchange Commission's review of disclosure repositories. Failure of issuers to meet their disclosure obligations.
- TBMA: Proposal Would Lessen Disclosure, Raise Costs. Hume, Lynn // Bond Buyer;05/02/2000, Vol. 332 Issue 30882, p6
Reports on the United States Securities and Exchange Commission's proposed rule on selective disclosure. Effects of the proposal on the flow of information in the fixed-income securities market; Increase of issuers' burden.
- SEC Asks for Feedback on Reg S-X. Hood, Daniel // Accountingtoday.com;9/28/2015, p1
The Securities and Exchange Commission is looking for public comment on the effectiveness of the financial disclosure requirements in Regulation S-X.