Lucent's Customers Haven't Abandoned Ship
- Pranksters Target Lucent. // Wireless Week;03/27/2000, Vol. 6 Issue 13, p1
Announces assurance of Lucent to investors on its financial guidance after a fake report was posted on an Internet message board. Details on the phony report; Notification to the United States Securities and Exchange Commission; Effect on Lucent's stock.
- MSRB Sends Muni-Fund Securities Qualifications Proposal to SEC. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p3
Reports proposal for regulatory changes in the Securities and Exchange Commission policy on professional qualifications by the Municipal Securities Rulemaking Board in the U.S. Focus on Rule G-3; Concept of municipal fund securities; Efforts of the board to gather public opinion on the proposed...
- New independence standards board announced. // CPA Journal;June97, Vol. 67 Issue 6, p8
Announces the formation of a standard setting body called the Independence Standards Board (ISB) to deal with the issue of auditor independence for companies whose securities are registered with the Securities and Exchange Commission (SEC). Composition of the board; Statement given by SEC Chair...
- Congressman Fights to Amend 1995 Reform Act. Rubenstein, Bruce // Corporate Legal Times;May2002, Vol. 12 Issue 126, p16
Focuses on the view of the U.S. Congress on the amendment plan for the Private Securities Litigation Act of 1995. Effect of the amendment on fraud cases; Impact of the plan in business enterprise; Concept of the Reform Act.
- SEC refusing paper. // Practical Accountant;Feb98, Vol. 31 Issue 2, p8
Focuses on an electronic filing rule adopted by the United States Securities and Exchange Commission (SEC), (Rule 14 of Regulation S-T, Rel No. 33-7472) stating that the SEC will no longer be accepting filing in paper, which should be filed electronically. When the rule became effective;...
- SEC to crack down on violations of new trading rules. Horowitz, Jed // Investment Dealers' Digest;09/22/97, Vol. 63 Issue 38, p9
Reports on the US Securities and Exchange Commission's informal grace period for its order handling rules. Difficulties in implementing the rules; Identification of rampant violations; Ways of preventing violations.
- SEC sets schedule for audit trail on equity trades. Horowitz, Jed // Investment Dealers' Digest;03/09/98, Vol. 64 Issue 10, p13
Presents information on the Securities and Exchange Commission publishing a release that will call for the phasing in of a system that was designed by the National Association of Securities Dealers. Information on the system; Why it was developed; How it is supposed to work.
- Section 12(1) and the Imperfect Exempt Transaction: the Proposed I & I Defense. Schneider, Carl W.; Zall, Charles C. // Business Lawyer;Jul73, Vol. 28 Issue 4, p1011
Focuses on the proposal of the rules clarifying the terms important exemptions under the Securities Act of 1933 by the United States Securities and Exchange Commission. Content of the proposed rules; Substantive difficulties raised by the Rules; Limitations on the nature of permitted offers.
- Plain English pilot program at SEC tries to tame jargon. Bowers, Kelly R. // Corporate Legal Times;Jun97, Vol. 7 Issue 67, p14
Reports on the Securities and Exchange Commission's (SEC) proposed rules on the use of plain English in writing offering prospectuses. Goal of the proposal; Awards given to the proponents of the project; Number of participating companies; Problem behind legalese infested prospectuses.