SEC Folds Muni Office Into Market Regulation
- While Staff Proposes Rules, Uncertainty Surrounds. // SCOR Report;Dec2002, Vol. 43 Issue 1, p3
Discusses the staffing problems of the U.S. Securities and Exchange Commission regarding the proposed rules to implement the Sarbanes-Oxley Act.
- No new rules streaming from federal agencies. Anand, Vineeta // Pensions & Investments;1/23/1995, Vol. 23 Issue 2, p10
Reports that the US Securities and Exchange Commission is not rushing to issue new rules despite threats from the Republican majority in the US Congress. Plans of the Congressional Republicans to pass a law making it harder for government agencies to justify issuing new rules and regulations;...
- SEC to Get a New Home in Washington. Hume, Lynn // Bond Buyer;05/31/2001, Vol. 336 Issue 31150, p48
Reports on the United States Securities and Exchange Commission's plan to consolidate its headquarters offices in a larger building next to Union Station and the Thurgood Marshall Building.
- SEC Outlines Future Market Structure. Winograd, Jeffrey L. // On Wall Street;Jul2000, Vol. 10 Issue 7, p14
Highlights the general principles of the United States Securities and Exchange Commission (SEC) that will guide the government agency in the complex matter of market structure. Recognition of electronic communications network by SEC; Views of SEC on price transparency and linkages.
- SEC overhauls NY office. Furman, Phyllis; Lentz, Philip // Crain's New York Business;2/5/96, Vol. 12 Issue 6, p6
Reports on staffing changes at the Security Exchange Commission's office in New York City. Resignation of broker-dealer division chief Martin Kuperberg to head the National Association of Securities Dealers' New York office; Promotion of Carmen J. Lawrence to regional director Associate...
- With Friends Like These: Rule-Making Comment Submissions to the Securities and Exchange Commission. Nixon, David C.; Howard, Robert M.; DeWitt, Jeff R. // Journal of Public Administration Research & Theory;Jan2002, Vol. 12 Issue 1, p59
Focuses on the Administrative Procedure Act the relationship between industry interest with regulatory agencies. Comment period for rule making at the United States Securities and Exchange Commission; Influence of interest group on regulatory process; Concept of iron triangle.
- Wayne Carlin Named Director of SEC's Northeast Regional Office. hume, Lynn // Bond Buyer;10/03/2000, Vol. 334 Issue 30988, p5
Reports on the appointment of Wayne Carlin as director of the Northeast regional office of the Securities and Exchange Commission in New York City. Replacement of Carmen Lawrence; Scope of responsibilities; Career background.
- Muni Office Languishing Under Pitt. Hume, Lynn // Bond Buyer;6/6/2002, Vol. 340 Issue 31402, p1
Reports the cutbacks experience by the U.S. Securities and Exchange Commission under the leadership of Harvey Pitt. Failure of officials to give comments on the cutbacks in the municipal government; Reason of the cutbacks on the commission-wide hiring freeze; Result of the inadequate fundings...
- SEC Chair: Independent Mutual Fund Directors Need to Improve Their Oversight. Hume, Lynn // Bond Buyer;10/22/2004, Vol. 350 Issue 31995`, p4
Encourages the independent directors of mutual fund boards to enhance their oversight activities to comply with regulatory reforms of the Securities and Exchange Commission in the U.S. Identification of areas to established industry standards; Participation of mutual fund directors on emerging...