Will SEC Ruling Push Equity Traders to Consolidate?
- Systemic risk? Not us, say private equity firms. Halonen, Doug // Pensions & Investments;4/6/2009, Vol. 37 Issue 7, p1
The article reports that a proposal by President Barack Obama is being introduced to regulate alternative investment managers in the U.S. It is stated that all managers of larger hedge funds, private equity and venture capital firms and others would have to register with the U.S. Securities and...
- The Street Has Its Say. Clary, Isabelle // Securities Industry News;4/26/2004, Vol. 16 Issue 16, p1
Reports on the meeting of the U.S. Securities and Exchange Commission concerning the Regulation NMS in April 2004. Debate concerning the trade-through rule during the meeting; Proposals under the regulation; Impact of the trade-through debate on the business model of the New York Stock...
- Business & Briefs. Reynolds, Alan // National Review Bulletin;4/4/1975, Vol. 27 Issue 12, pB48
This article focuses on the regulation of various industries by the U.S. government. Fixed stockbroker commissions are scheduled to end on May 1, 1975 when the U.S. Securities and Exchange Commission (SEC) exposes the brokers to price competition. Harry Browne reportedly collected over $100,000...
- Private Equity Perspective. FLYNN, MARY KATHLEEN // Mergers & Acquisitions: The Dealermaker's Journal;Jun2014, Vol. 49 Issue 6, p15
The author discusses the regulation of private equity industry by the Securities and Exchange Commission (SEC) in the U.S.
- They're Killing Mutual Funds. Jamieson, Dan // On Wall Street;Apr2004, Vol. 14 Issue 4, p14
Criticizes the efforts of the U.S. government to regulate mutual funds. Examples of mutual-fund reform bills introduced in the U.S. Congress; Reason of the Securities and Exchange Commission (SEC) for ducking a key reform for breakpoints; Remarks from Joel Seligman, a securities law icon and...
- Yes: The mission is over, but the agency lingers on. Macey, Jonathan R. // ABA Journal;Nov95, Vol. 81 Issue 11, p52
Calls for the abolition of the Securities and Exchange Commission (SEC). Obsolescence of the SEC; SEC's negative effect on businesses.
- No: The SEC is our best line of defense against crooks. Sommer Jr., A.A. // ABA Journal;Nov95, Vol. 81 Issue 11, p53
Emphasizes the retention of the Securities and Exchange Commission (SEC). SEC's effectiveness in regulating the securities industry and markets; SEC's addressing of the disclosure system.
- Checketts Files to Raise $250M PE Fund. MacFADYEN, KEN // Mergers & Acquisitions Report;7/4/2011, Vol. 24 Issue 27, p7
This article reports on the move of sports executive David Checketts to file a Form D with the U.S. Securities and Exchange Commission (SEC) to raise 250 million U.S. dollars for a private equity fund.
- Breaking It All Down-After an 80-Year-Old Ban, the SEC Provides Advertising Relief to Private Investment Fund Managers. Lejman, Sheri // Orange County Business Journal;11/11/2013, Vol. 36 Issue 45, p14
The article reports on the decision of the U.S. Securities and Exchange Commission (SEC) to remove an 80-year ban, which prohibited private investment funds from marketing and advertising their product to general public, effective September 2013.