SECURITIES IN REGISTRATION: EQUITY
- The Volcker Rule Dilemma. Hintze, John // Treasury & Risk;Mar2012, Vol. 22 Issue 3, p24
The article focuses on the Volcker Rule or the U.S. Securities and Exchange Commission's Restrictions on Proprietary Trading and Certain Interest in, and Relationships With, Hedge Funds and Private Equity Funds which imposes higher costs to financial products. Reduced credit access, less funding...
- 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...
- Snub: STA Shut Out of Hearings. Bresiger, Gregory // Traders Magazine;Nov2002, Vol. 15 Issue 204, p10
Reports on the non-inclusion of the Security Traders Association (STA) in two controversial U.S. Securities and Exchange Commission (SEC) hearings on market structure. Meetings schedules for October and November 2002; Disappointment of STA over non-inclusion; SEC representatives' comments on...
- Spread a bit too thick. Roush, Matt // Crain's Detroit Business;8/19/96, Vol. 12 Issue 34, p2
Focuses on the US Securities and Exchange Commission's settlement of its case against the National Association of Securities Dealers (NASD). NASD's agreement to improve Nasdaq market surveillance; Efforts to narrow wide trading spreads in Nasdaq stocks.
- Yield burning, rule g-37 among SEC exam priorities. Hume, Lynn Stevens // Bond Buyer;01/19/99, Vol. 327 Issue 30560, p31
Focuses on the priorities of the United States Securities and Exchange Commission's broker-dealer inspection and examination program. Checking for firms' compliance with the Municipal Securities Rulemaking Board's Rule G-37 and yield-burning abuses.
- It's back to school for stockbrokers. LaFemina, Lorraine // Long Island Business News (7/1993 to 5/2009);5/22/95, Vol. 42 Issue 21, p3
Reports that six self-regulatory stock and security organizations in the United States have proposed rules to the Securities and Exchange Commission (SEC) to establish a continuing education program for stockbrokers. Names of the organizations; Number of registered brokers affected; Description...
- Waivers Give Incentive to Settle Yield-Burning Suits, Lawyers Say. Hume, Lynn // Bond Buyer;04/20/2000, Vol. 332 Issue 30875, p1
Discusses why securities brokers and dealers would rather settle than fight the United States Securities and Exchange Commission (SEC) in enforcement cases. Series of letters from the SEC granting waivers and regulatory relief to securities firms involved in the global federal yield-burning...
- Sunshine Act Meeting. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/17/2012, Vol. 77 Issue 201, p63902
The article informs about a Sunshine Act meeting organized by the U.S. Securities and Exchange Commission to be held on October 17, 2012 at Washington D.C. to propose capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
- SEC bars two. Harrington, John // Crain's New York Business;1/8/96, Vol. 12 Issue 2, p22
Reports on the barring by the Securities and Exchange Commission from the industry of two securities brokers amid claims that they misled investors about the safety of millions of dollars of Towers Financial Corp. bonds.