Muni Office Seeking Two New Attorneys
- SEC takes on star Cleary Gottlieb partner as director. // Lawyer;11/26/2001, Vol. 15 Issue 47, p13
Reveals that Alan Beller, a partner from the Cleary Gottlieb Steen & Hamilton law firm, has been appointed by the U.S. Securities and Exchange Commission to be its director of corporation finance. Background of Beller; Reason of the agency for appointing Beller.
- Cleary partner to take up SEC general counsel role. Hobbs, Kathryn // Lawyer;4/8/2002, Vol. 16 Issue 15, p11
Reports on the appointment of Giovanni Prezioso, a partner at Cleary Gottlieb Steen & Hamilton, as general counsel at the U.S. Securities & Exchange Commission. Remarks from Peter Karasz, managing partner at Cleary; Responsibilities of Prezioso in Cleary.
- 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...
- Lawyers raise concerns over 'noisy withdrawls' Mancini, Rosamaria // Long Island Business News (7/1993 to 5/2009);1/24/2003, Vol. 50 Issue 4, p5B
Reports on the concerns of lawyers over the proposal of the Securities and Exchange Commission requiring them to notify the commission their intent to resign as counsel to a public company in the U.S. Factors driving the proposal; Purpose of the rule; Impact of the proposal on attorney-client...
- SEC enforcement actions against securities lawyers: New remedies vs. old policies. Maxey, Ann // Delaware Journal of Corporate Law;1997, Vol. 22 Issue 2, p537
Analyzes the extent of power of the Securities and Exchange Commission (SEC) of the United States in bringing disciplinary proceedings against lawyers. Importance of SEC enforcement proceedings against lawyers; Roles played by lawyers and accountants in the security industry; Existence of the...
- SEC proposal puts lawyers on defensive. Kenny, Jack // New Hampshire Business Review;1/10/2003, Vol. 25 Issue 1, p1A
Reports on the proposed rule by the U.S. Securities and Exchange Commission (SEC) governing the responsibilities of lawyers for public corporations in the U.S. Need for corporate counselors to become whistleblowers against clients; Change in the relationship between lawyers and clients;...
- SEC eases up on 'noisy withdrawal' regulations. Mancini, Rosamaria // Long Island Business News (7/1993 to 5/2009);1/31/2003, Vol. 50 Issue 5, p11A
Focuses on the proposal of the U.S. Securities and Exchange Commission for lawyers to notify the commission regarding their intent to resign as counsel to a public company. Reference to the Sarbanes-Oxley Act; Evidence of securities law violation; Impact of the proposal on attorney-client...
- Nasdaq Adds QQQs, More ETFs. // Securities Industry News;4/1/2002, Vol. 14 Issue 13, p20
Focuses on the QQQs, an additional tracking system for the Primex Auction System of Nasdaq in the U.S. Appointment of two executives for the financial department; Product expansion; Application for a full-fledge stock exchange to the Securities and Exchange Commission.
- Donaldson Takes Over as SEC Chairman . Heller, Michele // American Banker;2/19/2003, Vol. 168 Issue 33, p4
Reports on the succession of Harvey Pitt by William Donaldson as the chairman of the U.S. Securities and Exchange Commission. Views of U.S. President George W. Bush on the capabilities of Donaldson; Views of Donaldson on the responsibility conferred on him; Plans of Donaldson for the commission.