TITLE

THE MONITOR: SECURITIES/SECTION 20/BROKER-DEALER

PUB. DATE
December 2009
SOURCE
Intervention in School & Clinic;Dec2009, Vol. 45 Issue 3, p26
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article provides information on the issues regarding the financial services industry particularly in the securities/section 20/broker-dealer sector in the U.S. The House Financial Services Committee passed the Investor Protection Act authored by Representative Paul Kanjorski that revamps the budget, enforcement power, and regulatory authorities of the Securities and Exchange Commission (SEC). The SEC also published an entity compliance guide addressing the removal of credit ratings references which was an adopted amendment to the Investor Company Act.
ACCESSION #
47901870

 

Related Articles

  • HFSC Approves Regulatory Relief Bills.  // Pratt's Letter;3/24/2014, p4 

    The article reports on the approval of the U.S. House Financial Services Committee for five regulatory relief bills within the financial services industry on March 14, 2014. Highlighted bills include the Capital Access for Small Community Financial Institutions Act of 2013, the Helping Expand...

  • House Panel Debates Reg Bills. Kaper, Stacy // American Banker;10/28/2009, Vol. 174 Issue 196, p3 

    The article reports that the U.S. House Financial Services Committee began debate on three bills introduced by Representative Paul Kanjorski to improve investor protections, reform the credit rating agencies, and increase the transparency of hedge funds. The bills were part of the committee's...

  • House Nixes Repealing Soft Dollars. Chapman, Peter // Traders Magazine;Nov2007, Vol. 20 Issue 274, p40 

    The article reports that the House Committee on Financial Services has refused to address the issue of revising of the Section 28 (e) of the U.S. Securities and Exchange (SEC) Act of 1934. Representative Paul Kanjorski, member of the committee's capital markets subcommittee, has stated on a...

  • Congressional Crackdown. WILLIAMSON, LAUREN // InsideCounsel;Mar2010, Vol. 21 Issue 219, p28 

    The article focuses on the Investor Protection Act, a bill in the U.S. House of Representatives that seeks to reform the existing U.S. financial system and gives the U.S. Securities and Exchange Commission additional powers to enforce the law. Representative Paul Kanjorski introduced the bill to...

  • Frank: House won't vote on financial overhaul until Dec. Brush, Silla // Hill;11/4/2009, Vol. 16 Issue 130, p8 

    The article reports on the scheduling for the congressional vote on the overhaul of financial regulations in December 2009, according to U.S. House Financial Services Committee chairman Congressman Barney Frank.

  • Guidance, Grousing on Accounting. Sloan, Steven; Hopkins, Cheyenne // American Banker;3/13/2009, Vol. 174 Issue 49, p1 

    The article reports that officials of the U.S. Securities & Exchange Commission (SEC) and the Financial Accounting Standards Board said at a hearing of the House Financial Services Committee that they would issue revised guidelines for the valuation of illiquid assets held by banks. Banks have...

  • Covered Bond Legislation Passed by the House Financial Services Committee. Marlatt, Jerry R. // Venulex Legal Summaries;2010 Q3, p1 

    The article reports on a covered bond bill sent by the Financial Services Committee of the U.S. House of Representatives to the full House. Introduced by Representative Scott Garrett, the legislation seeks to establish a statutory framework for U.S. banks to issue covered bonds. Garrett...

  • Price Transparency to Boost 144A Bonds. Sheahan, Matthew // High Yield Report;9/30/2013, p27 

    The article reports that U.S. Financial Industry Regulatory Authority (FINRA) has proposed rules that would mandate that dealers of privately-traded 144A bonds provide real-time pricing information similar to what is currently mandated for bonds registered with the Securities and Exchange...

  • BACHUS CALLS FOR SEC REFORM.  // Pratt's Bank Law & Regulatory Report;2011, Vol. 17 Issue 9, p25 

    The article focuses on the plan by U.S. Financial Services Committee Chairman Spencer Bachus to restructure the Securities and Exchange Commission.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

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

Try another library?
Sign out of this library

Other Topics