SEC extends input on `broker-dealer light'
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.
- SEC slates small business meeting. // Las Vegas Business Press;05/18/98, Vol. 15 Issue 20, p27
Reports that the US Securities and Exchange Commission will hold a small business town hall meeting on May 28, 1998, at the Moyer Student Union Ballroom at the Las Vegas, Nevada-based University of Nevada. Contact information.
- Clearing firms work with SEC to stop fraud. Horowitz, Jed // Investment Dealers' Digest;02/02/98, Vol. 64 Issue 5, p4
Presents information pertaining to the United States Securities and Exchange Commission working with clearing firms, to help detect fraudulent practices. Details on what they plan to do; Mention of rule changes; Proposition of more cooperation between the different entities; Information on...
- New SEC rules on trading systems get mixed reviews. Schoeder, Mary // Investment Dealers' Digest;05/04/98, Vol. 64 Issue 18, p7
Reports that observers oppose a regulator proposed by the Securities and Exchange Commission for alternative trading systems. Impact of the regulator on Internet trading initiatives; Terms of the regulator; What would happen if a trading system opts for exchange status; Views of Andy Klein,...
- SEC gets tough on awarding confidentiality. Keegan, Jeff // Investment Dealers' Digest;06/22/98, Vol. 64 Issue 25, p10
Reports that the United States Securities and Exchange Commission (SEC) will tighten its procedure used to review money managers request, for keeping their holdings from the view of the public. Requirements of the institutions by the SEC; Concerns of the SEC over it being awarded...
- SEC Eyes Fees, Fragmentation, ECNs. Bresiger, Gregory // Traders Magazine;Jul2003, Vol. 16 Issue 213, p14
Reports on the activities of the Securities and Exchange Commission in the U.S. Concept releases on access fees; Review of practices in the mutual fund industry; Review of the market structure; Rules for electronic communication networks.