SEC Still Needs to Untangle Web Issues, According to Bond Lawyers
- 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...
- Congressmen to SEC: Dealers Should Track Outages. Hume, Lynn // Bond Buyer;06/09/2000, Vol. 332 Issue 30909, p5
Reports on the call for the United States Securities and Exchange Commission to require broker-dealers with online trading systems to keep records of their delays and outages. Disclosure of the potential for disruptions on the Web sites; Information on risk disclosure.
- The ISE's Cookie-Cutter Approach. // Traders Magazine;Feb2003, Vol. 16 Issue 207, p18
Reports that the United States Securities and Exchange Commission (SEC) has adopted the auto-execution rule which requires that auto-execution capabilities must be provided to all participants of the SEC electronic options market. Purpose of the rule.
- SEC report signals greater focus on systems capacity. Hendrickson, Mark // Securities Industry News;11/29/99, Vol. 11 Issue 47, p26
Discusses the United States Securities and Exchange Commission's recommendations for improving online trading. Interoperability complications posed by the development of customer-tailored technology; Requirement of broker-dealers to maintain and periodically test contingency plans; Disclosure...
- Investment firms put stock into the Internet. Rodda, Kelli // Business Press;9/06/96, Vol. 9 Issue 19, p3
Reports on the warning issued by the Securities and Exchange Commission (SEC) to investment firms that have plans of buying stocks through the Internet. Opportunities available on the Internet; Dangers and pitfalls associated with electronic trading; Application of all SEC rules to electronic...
- SEC warns investors about risks of on-line trading. // American Banker;1/29/1999, Vol. 164 Issue 19, p8
Focuses on the caution given for electronic trading of securities in the United States by the Securities & Exchange Commission (SEC) Chairman Arthur Levitt.
- SEC Survey on Electronic Trading Faces May 25 Deadline. Hume, Lynn // Bond Buyer;05/22/2001, Vol. 336 Issue 31144, p4
Reports the implementation of a deadline on the Web-based survey on electronic trading by the United States Securities and Exchange Commission. Factors affecting the early implementation of the deadline; Issues covered by the research; Purpose of the information collected in the survey.
- Comments sought on SEC ATS rules. Hume, Lynn Stevens // Bond Buyer;05/01/98, Vol. 324 Issue 30384, p6
Reports that the US Securities and Exchange Commission has set a July 28, 1998 deadline for public comments on proposed rules that would create a regulatory framework for screen-based electronic trading systems. Background on the proposed rules.
- MuniAuction Becomes ATS To Answer SEC's Concerns. Hume, Lynne // Bond Buyer;04/03/2000, Vol. 332 Issue 30862, p1
Reports on MuniAuction Inc.'s filing with the United States Securities and Exchange Commission to become an alternative trading system. Rules on electronic trading system; Quarterly volume reports needed.