Oxley: Securities Law Reform Will Be High Priority, But Will 'Take Some Time'

Hume, Lynn
February 2001
Bond Buyer;02/15/2001, Vol. 335 Issue 31078, p4
Trade Publication
Reports the overhauling of the Securities Exchange Act of 1934 by the House Financial Services Committee in the United States. Plan of committee members to introduce legislation; Proposals for Securities and Exchange Commission fee reductions; Jurisdiction over online trading in financial markets.


Related Articles

  • Pressured by Congress, SEC looks into shorting. Swanson, Ian // Hill;4/8/2009, Vol. 16 Issue 41, p10 

    The article reports on the move by the U.S. Securities and Exchange Commission (SEC) to fortify rules intended to forbid abusive behavior by traders in the U.S.

  • Increase in asset threshold for SEC registering and reporting.  // CPA Journal;Jul96, Vol. 67 Issue 7, p11 

    Reports on the Securities and Exchange Commission's (SEC) increase in the total asset threshold for registration and periodic reporting under the Securities and Exchange Act of 1934. Provisions under the 1934 Act; Situations when a company may terminate its 1934 Act registration for a class of...

  • A Move on Market Structure. Bresiger, Gregory // Traders Magazine;Feb2003, Vol. 16 Issue 207, p10 

    Reports that stock market structure reforms will be enacted during the later part of 2003 through a series of rules established by the United States Securities and Exchange Commission. Securities industry groups that have been lobbying for regulatory action.

  • A Fool and His Money--.  // Saturday Evening Post;12/1/1934, Vol. 207 Issue 22, p22 

    Presents views and insights on the promise of the Securities and Exchange Commission (SEC) for a relentless campaign against stock swindlers and securities fraud in the U.S. Views of National Surety Co. chairman William B. Joyce on the annual loss incurred from stock, credit, and insurance...

  • SEC wants return of OTC derivatives biz with 'lite' rules. Wipperfurth, Heike // Investment Dealers' Digest;10/26/98, Vol. 64 Issue 43, p8 

    Reports that the United States Securities and Exchange Commission voted to adopt lighter regulations concerning brokers and dealers. Provisions allowing firms to register as over the counter derivative dealers rather than as broker dealers; Plans to lure back dealers who were turned off with...

  • Market players blast SEC for too-broad regs. O'Leary, Christopher // Investment Dealers' Digest;04/26/99, Vol. 65 Issue 17, p10 

    Reports the opposition of the Bond Market Association and fixed-income market players on proposed Securities and Exchange Commission (SEC) rule in the United States. Efforts of SEC to enact rules on microcap stock fraud reduction; Claims of market players on proposed SEC rule amendment; Issues...

  • SIA: Activity Fee Needs Comment Period. Bresiger, Gregory // Traders Magazine;Nov2002, Vol. 15 Issue 204, p14 

    Reports on the U.S. Securities Industry Association's objections to the Trading Activity Fee which replaces the former Section 8(a) regulatory fee. Definition of Trading Activity Fee as a transactional fee assessed across all markets; Need for a comment period to review the Trading Activity Fee...

  • REG NMS.  // Traders Magazine;May2005, Vol. 18 Issue 239, p8 

    Reports on the approval of the Regulation National Market System package by the U.S. Securities and Exchange Commission. Statement of Security Traders Association president John Giesea regarding the debate on the market structure; Factors that can negatively affect the rule; Speculation on the...

  • Is it Good News for Nasdaq?  // Traders Magazine;May2005, Vol. 18 Issue 239, p14 

    Comments on the Regulation National Market System trade-through rule in the U.S. Assistance of electronic trading firms that are interested in obtaining more business enlisted in big stock exchanges by the rule; Positive outcome from the application of the rule to all markets; Effect of the rule...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics