SEC Bill Clears Senate Banking Panel
- EXECUTIVE AGREEMENTS. // International Law Update;Jul2000, Vol. 6, p107
Reports that the Canadian Supreme Court upholds validity of British Columbia legislation allowing its securities regulators to compel production of documents. Memorandum of Understanding with the United States Securities and Exchange Commission; Details of the case.
- BUSINESS ROUNDTABLE V. SEC: RISING JUDICIAL MISTRUST AND THE ONSET OF A NEW ERA IN JUDICIAL REVIEW OF SECURITIES REGULATION. Al-Alami, Leen // University of Pennsylvania Journal of Business Law;Winter2013, Vol. 15 Issue 2, p541
The article reflects on the cases that has presented challenges to the U.S. Securities and Exchange Commission (SEC) rulemaking, specifically in the area of securities regulations since 1990. It mentions the District of Columbia (D.C.) Circuit's recent ruling in Business Roundtable v.SEC that...
- Piling on More Section 31 Relief. // Traders Magazine;Mar2000, Vol. 13 Issue 164, p14
Focuses on the amended Section 31 securities trading fee legislation in the United States (US). Purpose of the bill; Provisions of the bill; Amount raised by the US Securities and Exchange Commission on fees.
- SEC Sets a Precedent With South Miami Fraud Charges. GLAZIER, KYLE // Bond Buyer;5/28/2013, Vol. 384 Issue 33918, p1
The article informs that the decision taken by the U.S. Securities and Exchange Commission regarding the charges on South Miami, Florida with defrauding investors set up a criterion for a broad array of documents that could become securities law liabilities.
- SEC Delays Disclosure Rule, Limits Firms Affected. Clary, Isabelle // Securities Industry News;7/9/2001, Vol. 13 Issue 27, p8
Reports the delay of the order execution quality disclosure rule implementation by the United States Securities and Exchange Commission. Problems arising from the postponement; Types of companies subjected to the regulation; Emphasis of the rule; Pressures in the compliance of the rule; Impact...
- Showtime at the SEC. Curtis, Carol E. // Securities Industry News;10/5/2009, Vol. 21 Issue 21, p18
The article presents a discussion of the action taken by state prosecutors and courts in enforcing securities laws where the U.S. Securities Exchange Commission (SEC) and other federal regulators failed to act. It cites, as an example, the case of Richard Cordray, attorney general of Ohio, who...
- SEC Small Business Forum Securities Recommendations. // SCOR Report;Jul2001, Vol. 8 Issue 8, p6
Discusses the recommendations of the securities law sections of the United States Securities and Exchange Commission small business forum in 2000. Two categories of the recommendations involving the National Association of Securities Dealers; Question raised regarding the Gramm Leach Bliley...
- Service Providers Targeted by SEC Plan. Kite, Shane // Securities Industry News;1/12/2004, Vol. 16 Issue 1, p11
Reports on the need for investment companies and investment advisors to rework their contractual agreements to ensure their service providers are complying with federal securities laws as mandated by the U.S. Securities and Exchange Commission. Statement issued by Tony Evangelista, a partner in...
- Why FIA Producers Are Pondering Their Future. Kennedy, Danette // National Underwriter / Life & Health Financial Services;2/18/2008, Vol. 112 Issue 6, p27
The article discusses the role of fixed index annuity (FIA) producers in the U.S. The author mentions that authority to classify FIAs as a security rests with the Securities and Exchange Commission. She points out that FIAs are not securities products but insurance producers are currently...