MSRB Sends Muni-Fund Securities Qualifications Proposal to SEC
- Congressman Fights to Amend 1995 Reform Act. Rubenstein, Bruce // Corporate Legal Times;May2002, Vol. 12 Issue 126, p16
Focuses on the view of the U.S. Congress on the amendment plan for the Private Securities Litigation Act of 1995. Effect of the amendment on fraud cases; Impact of the plan in business enterprise; Concept of the Reform Act.
- Section 12(1) and the Imperfect Exempt Transaction: the Proposed I & I Defense. Schneider, Carl W.; Zall, Charles C. // Business Lawyer;Jul73, Vol. 28 Issue 4, p1011
Focuses on the proposal of the rules clarifying the terms important exemptions under the Securities Act of 1933 by the United States Securities and Exchange Commission. Content of the proposed rules; Substantive difficulties raised by the Rules; Limitations on the nature of permitted offers.
- THE SEC'S NEW RULE 144. Miller, Stephen R.; Seltzer, Richard S. // Business Lawyer;Jul72, Vol. 27 Issue 4, p1047
Features Rule 144 of the Securities and Exchange Commission regarding the objective conditions for the sale without registration under the Securities Act of 1933 in the United States. Date of effectivity; Background of the Rule; Provisions of Rule 144.
- SEC Approves MSRB Anti-Money Laundering Rule. Hume, Lynn // Bond Buyer;7/16/2003, Vol. 345 Issue 31678, p4
Focuses on the announcement of the U.S. Securities and Exchange Commission, that it has approved a Municipal Securities Rulemaking Board rule that requires broker-dealers that deal solely in municipal securities to establish and implement compliance programs to prevent money laundering on July...
- New independence standards board announced. // CPA Journal;June97, Vol. 67 Issue 6, p8
Announces the formation of a standard setting body called the Independence Standards Board (ISB) to deal with the issue of auditor independence for companies whose securities are registered with the Securities and Exchange Commission (SEC). Composition of the board; Statement given by SEC Chair...
- SEC refusing paper. // Practical Accountant;Feb98, Vol. 31 Issue 2, p8
Focuses on an electronic filing rule adopted by the United States Securities and Exchange Commission (SEC), (Rule 14 of Regulation S-T, Rel No. 33-7472) stating that the SEC will no longer be accepting filing in paper, which should be filed electronically. When the rule became effective;...
- SEC to crack down on violations of new trading rules. Horowitz, Jed // Investment Dealers' Digest;09/22/97, Vol. 63 Issue 38, p9
Reports on the US Securities and Exchange Commission's informal grace period for its order handling rules. Difficulties in implementing the rules; Identification of rampant violations; Ways of preventing violations.
- SEC sets schedule for audit trail on equity trades. Horowitz, Jed // Investment Dealers' Digest;03/09/98, Vol. 64 Issue 10, p13
Presents information on the Securities and Exchange Commission publishing a release that will call for the phasing in of a system that was designed by the National Association of Securities Dealers. Information on the system; Why it was developed; How it is supposed to work.
- Plain English pilot program at SEC tries to tame jargon. Bowers, Kelly R. // Corporate Legal Times;Jun97, Vol. 7 Issue 67, p14
Reports on the Securities and Exchange Commission's (SEC) proposed rules on the use of plain English in writing offering prospectuses. Goal of the proposal; Awards given to the proponents of the project; Number of participating companies; Problem behind legalese infested prospectuses.