Delay Sought on Bank Broker-Dealer Rule
- New SEC guidelines formalize disclosure rules for bond issuers. Pallarito, Karen // Modern Healthcare;11/21/94, Vol. 24 Issue 47, p24
Reports on the Securities and Exchange Commission (SEC) guidelines on disclosure rules for bond issuers. Complaints of bond buyers; Rules on compliance costs and underwriting; Healthcare Financial Management Association's (HFMA) issuance of `Statement No. 18' for disclosures after a bond sale.
- SEC suggests rules. // Hudson Valley Business Journal;6/13/94 - 6/20/94, Vol. 6 Issue 4, p6
Reports on the rules proposed by the Securities and Exchange Commission (SEC) to cut regulations for corporate bonds traded on stock-exchanges.
- It's about time the bond market started taking the SEC seriously. Ferris, Craig T. // Bond Buyer;09/29/97, Vol. 321 Issue 30240, p33
Opinion. Comments on the US Securities and Exchange Commission's well-publicized bond enforcement actions. Priority program of the agency; Resistance from participants in the municipal market; Evidence of the failure of the checks and balances of self-regulation.
- Bill could thwart SEC action over yield-burning abuses. Hume, Lynn Stevens // Bond Buyer;07/24/98, Vol. 325 Issue 30442, p1
Focuses on the implications of the proposed 1998 Regulatory Fair Warning Act on the United States Securities and Exchange Commission's actions over yield burning abuses. Representative George Gekas' sponsorship of the bill; Justice Department's opinion on the applicability of the bill.
- G-37-like rule unveiled. Hume, Lynn // Bond Buyer;08/05/99, Vol. 329 Issue 30698, p1
Reports that the United States Securities and Exchange Commission has proposed a G-37-like rule. Prohibition of federally regulated and nonregistered investment advisers from making political contributions; Resolution approved by the National Association of State Treasurers.
- SEC rule would allow broader fund investments. Hume, Lynn // Bond Buyer;09/28/99, Vol. 329 Issue 30735, p4
Reports on the proposed ruling of the United States Securities and Exchange Commission that would allow diversified tax-exempt municipal funds and investment companies to invest advanced-refunded bonds or repurchase agreements of a single issuer. Diversification requirements of the agency.
- SEC allows more firms to confirm trades. Hume, Lynn // Bond Buyer;05/11/99, Vol. 328 Issue 30638, p36
Reports that the United States Securities and Exchange Commission has allowed firms to provide automated confirmation and affirmation services to bond broker-dealers.
- Banks: SEC broker-dealer plan unnecessary, unfair. Hensley, Scott // American Banker;6/5/1996, Vol. 161 Issue 107, p10
Reports on bankers' criticism of rules proposed by the US Securities and Exchange Commission governing sales practices at their retail brokerages. Bankers' petition for the agency to withdraw the bank broker-dealer rules on grounds that they were unnecessary and discriminatory; Restrictions on...
- Bank funds seen facing more SEC scrutiny. Cope, Debra // American Banker;9/29/1993, Vol. 158 Issue 187, p18
Reveals that banks can expect more scrutiny from the Securities and Exchange Commission as they become involved in the mutual fund business. Comment from Marianne K. Smith, partner with the law firm Wilmer Cultler and Pickering.