SEC Lawyer Says Muni Office Move May Be a Good Thing
- An Analysis of the Most Recent SEC Reinstatements. Walsh, Jonathan J. // Professional Liability Litigation @lert;Fall2012, Vol. 9 Issue 1, p22
The article informs that the U.S. Securities and Exchange Commission (SEC) has granted to individuals suspended under Rule 102(e). It informs that Rule 102(e) proceedings are one of the most common proceedings brought by the commission against these professionals. It further informs that SEC...
- SEC Folds Muni Office Into Market Regulation. Hume, Lynn // Bond Buyer;12/07/2000, Vol. 334 Issue 31032, p6
Reports on the consolidation of the United States Securities and Exchange Commission's Office of Municipal Securities and Division of Market Regulation. Synergies between the work of the office.
- 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...
- Proposed SEC Conduct Standards Won't Affect Muni Bond Lawyers. Hume, Lynn // Bond Buyer;11/7/2002, Vol. 342 Issue 31508, p1
Reports that rules proposed by the U.S. Securities and Exchange Commission that would enforce lawyers representing issuers before the commission to report any evidence of material securities law violations would not affect municipal bond lawyers. Need to pay attention to certain concepts and...
- Lawyers raise concerns over 'noisy withdrawls' Mancini, Rosamaria // Long Island Business News (7/1993 to 5/2009);1/24/2003, Vol. 50 Issue 4, p5B
Reports on the concerns of lawyers over the proposal of the Securities and Exchange Commission requiring them to notify the commission their intent to resign as counsel to a public company in the U.S. Factors driving the proposal; Purpose of the rule; Impact of the proposal on attorney-client...