W. Va. Consultant, SEC Settle Yield-Burning-Related Suit
- SEC Charges W. Va. Adviser With Fraud. Ferris, Craig T. // Bond Buyer;06/14/2000, Vol. 332 Issue 30912, p36
Reports on the fraud charges against John Reger and his firm Business & Financial Advisors Inc. Violation of the provisions of the securities law.
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.
- SEC slates small business meeting. // Las Vegas Business Press;05/18/98, Vol. 15 Issue 20, p27
Reports that the US Securities and Exchange Commission will hold a small business town hall meeting on May 28, 1998, at the Moyer Student Union Ballroom at the Las Vegas, Nevada-based University of Nevada. Contact information.
- Clearing firms work with SEC to stop fraud. Horowitz, Jed // Investment Dealers' Digest;02/02/98, Vol. 64 Issue 5, p4
Presents information pertaining to the United States Securities and Exchange Commission working with clearing firms, to help detect fraudulent practices. Details on what they plan to do; Mention of rule changes; Proposition of more cooperation between the different entities; Information on...
- New SEC rules on trading systems get mixed reviews. Schoeder, Mary // Investment Dealers' Digest;05/04/98, Vol. 64 Issue 18, p7
Reports that observers oppose a regulator proposed by the Securities and Exchange Commission for alternative trading systems. Impact of the regulator on Internet trading initiatives; Terms of the regulator; What would happen if a trading system opts for exchange status; Views of Andy Klein,...