SEC Seeking Comment on MSRB's 'Solicitation Changes
- As rule 144A offerings multiply, SEC considers fine-tuning system. Wirth, Greg; Tibbitts, Lisa // Investment Dealers' Digest;10/06/97, Vol. 63 Issue 40, p13
Reports that the US Securities and Exchange Commission (SEC) is set to release proposals designed to correct some of the market anomalies that have developed because of its Rule 144A. Suggested changes to the entire process by which companies issue securities; Extent of use of 144A in the...
- Securities industry gets religion on fairness. Finn, Kathy // New Orleans CityBusiness (1994 to 2008);7/16/2001, Vol. 22 Issue 3
Editorial. Comments on the decision of the securities industry to change company rules in the United States. Impact of the decision on the investment community; Conflict of interest in the industry; Implementation of the Securities and Exchange Commission of Regulation Fair Disclosure.
- Will SEC Be Able To Enforce Proposed Custody Rules? Curtis, Carol E. // Securities Industry News;6/1/2009, Vol. 21 Issue 12, p1
The article reports that experts made a warning regarding the new rules to strengthen oversight of registered investment advisers (RIAs) proposed by the Securities and Exchange Commission (SEC) as of June 2009. Experts say that due to inadequate staff and budget resources, SEC might not be able...
- SEC Approves Changes to Ease Branch-Office Inspections. // On Wall Street;Dec2001, Vol. 11 Issue 12, p17
Reports on the approval by the United States Securities and Exchange Commission of a proposal to require securities firms to make records available to inspectors conducting branch-office inspections. Impact of the changes; Benefits of the formatting changes; Reason for the move.
- Fear Over Selective Disclosure Rule. // Traders Magazine;Oct2000, Vol. 13 Issue 173, p10
Focuses on the worry over the United States Securities and Exchange Commission's rule that prohibits private communications of information from top-level executives at publicly traded companies to securities professionals and analysts. Comments from finance professor, Jim Angel; Purpose of the...
- Securities Act Reform Arrives: SEC Issues Final Rules Adopting Securities Act Reform Measures Effective December 2005. Cartwright, Brian G.; Cohen, Alexander F.; Davenport, Kirk A.; Hubert, John J.; Schuman, Ian D.; Trotter, Joel H.; Zerner, Loryn B. // Venulex Legal Summaries;2005 Q3, p1
The article discusses the U.S. Securities and Exchange Commission final rules for securities offering reform initiative released on July 19, 2005. The rules aim at liberalizing permitted communications, liability timing rationalization and the improvement of offering procedures for all issuers....
- THE SEC IN A TIME OF DISCONTINUITY. Seligman, Joel // Virginia Law Review;Jun2009, Vol. 95 Issue 4, p667
The article provides an overview on the services offered by the Securities and Exchange Commission (SEC) on the securities market and securities trading in the U.S. The author suggests that fundamental restructuring of finance should be based on the economic emergency that begun in the housing...
- Sources: SEC Assuming Lead Role in ITS Reform. Clary, Isabelle // Securities Industry News;11/3/2003, Vol. 15 Issue 43, p1
Reports that the U.S. Securities and Exchange Commission has taken the lead in drafting the reform of the Intermarket Trading System (ITS) plan. Impact of the trade-through rule on listed-stock orders; Reform of the short-sale rule in stocks; Criticisms on the ITS operating committee.
- SIFMA Advocates More Comment on Proposed Rules for Sponsored Access. Hintze, John // Securities Industry News;12/14/2009, Vol. 21 Issue 23, p6
The article reports on the request of the Securities Industry and Financial Markets Association (SIFMA) for the U.S. Securities and Exchange Commission to postpone taking an official position on Nasdaq's proposal to regulate sponsored access. A letter by SIFMA dated November 23, 2009 commented...