- Ex-Salomon muni lawyer gets new SEC position. Hume, Lynn Stevens // Bond Buyer;10/15/98, Vol. 326 Issue 30500, p31
Reports on Annette Nazareth's appointment as director of the United States Securities and Exchange Commission's (SEC) Division of Investment Management.
- MSRB to Discuss MA Exams, Gift Restrictions, Principal Transaction Disclosure. Glazier, Kyle // Bond Buyer;1/23/2015, Issue F304, p1
The Municipal Securities Rulemaking Board will discuss municipal advisor qualification examinations, as well as comments on proposals restricting MA gift giving and requiring dealers to disclose reference prices on confirmation sheets at its quarterly meeting in Alexandria, Va., next week.
- Nazareth will become SEC chairman's counsel. Hume, Lynn Stevens // Bond Buyer;08/17/98, Vol. 325 Issue 30458, p40
Reports on the appointment of Annette Nazareth as senior counsel to United States Securities & Exchange Commission Chairman Arthur Levitt. Nazareth's career history.
- The Tail Wags the Dog. Hoffman, William // Traders Magazine;Jun2000, Vol. 13 Issue 168, p8
Reports that the United States (U.S.) Securities and Exchange Commission (SEC) might allow the trading of futures instruments on underlying stocks in U.S. markets. Reasons futures on individual stocks were banned in 1982; Possibility of trading of futures on underlying stocks according to...
- SEC Change. Maleske, Melissa // InsideCounsel;Jan2008, Vol. 18 Issue 194, p13
The article reports that the U.S. Securities & Exchange Commission (SEC) voted 3-1 on November 28, 2007 to permit companies to exclude from proxy statements shareholder nominations for board directors. According to Commissioner Annette Nazareth, lone dissenter and the only Democrat of SEC, the...
- Nazareth Encourages E-Disclosure. Hume, Lynn // Bond Buyer;01/12/2001, Vol. 335 Issue 31056, p1
Reports that United States Securities and Exchange Commission director Annette Nazareth has encouraged municipal bond issuers and borrowers to disclose securities information over their Web sites. Intended purpose for Nazareth's proposal; Nazareth's hopes of seeing an expansion of the use of...
- Principles and Prudential Regulation: An SEC Answer. Nazareth, Annette // Securities Industry News;4/6/2007, Vol. 19 Issue 14, p8
The article presents a speech by Annette Nazareth of the Securities and Exchange Commission delivered during the recent Securities Industry & Financial Markets Association compliance and legal division conference. She discusses her personal views on giving serious considerations to prudential...
- SEC chooses Nazareth for market regulation. Hume, Lynn // Bond Buyer;03/15/99, Vol. 327 Issue 30598, p2
Reports on the appointment of Annette Nazareth as director of the United States Securities & Exchange Commission's division of market regulation.
- Concept Release. // Traders Magazine;Nov99, Vol. 12 Issue 159, p6
Focuses on the concept release by the United States Securities and Exchange Commission (SEC) on the regulation of the short sale of securities. Statements issued by Annette Nazareth, director of the market regulation division of SEC; Views of Nazareth on decimalization.