MSRB Asks SEC to OK E-Mail Contact Rule
- House Bill Would Expand SEC Authority, Including Over Muni Clearing Entities. Hume, Lynn // Bond Buyer;2/27/2003, Vol. 343 Issue 31582, p4
Reports that the U.S. House passed a bill that would give the Securities and Exchange Commission (SEC) additional authority and flexibility to respond to emergency situations including with regard to clearing organizations in the municipal and government securities market as of February 2003. ...
- Washington alert. // Bond Buyer;11/08/99, Vol. 330 Issue 30764, p3A
Focuses on the consideration of a bill proposed to raise the low-income housing tax credit limit as a part of a minimum-wage increase bill. Demands for the modification or withdrawal of the U.S. Securities and Exchange Commission (SEC) rule by the securities industry officials, state...
- The limits of SEC authority under section 14(a) of the Exchange Act: Where federal disclosure... Berg, Philip C. // Journal of Corporation Law;Winter92, Vol. 17 Issue 2, p311
Discusses the Exchange Act of 1934 which defines the limitations of the Securities and Exchange Commission in the United States. Creation of the Exchange Act of 1934 and the Securities Act of 1933 to regulate corporate securities; History of the emergence of the Exchange Act; Purpose of the Act...
- Significant 1990 Legislative and Regulatory Developments. // Business Lawyer;May91, Vol. 46 Issue 3, p973
Examines the legislative development of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990 for the United States Securities and Exchange Commission. Enactment of the Enforcement Remedies Act; Characteristics of the Act; Implication of the Act to the advancement of the...
- House, in 422-to-4 Vote, OKs $776 Million SEC Budget. Ferris, Craig T. // Bond Buyer;6/27/2002, Vol. 340 Issue 31417, p4
Reports the approval of the legislative bill authorizing the increase of the 2003 Securities and Exchange Commission budget by the U.S. House of Senate. Amount of funds; Provisions of the bill; Plans of rising the salaries of the public officials.
- Fund CEOs Start Certifying Results. // On Wall Street;Oct2002, Vol. 12 Issue 10, p28
Reports on the certification requirement of the Sarbanes-Oxley Act of the U.S. Securities and Exchange Commission. Information on the certification requirement; Criticism on the requirement; Practical problem presented by the requirement.
- New SEC Rules Make It Harder for Small Cos. // SCOR Report;Sep2002, Vol. 9 Issue 11, p1
Focuses on the views of the U.S. Securities and Exchange Commission on the Congress' Sarbanes-Oxley Act.
- Financial Market Structure. // Regulation;Winter2002/2003, Vol. 25 Issue 4, p6
Deals with the hearings held by the U.S. Securities and Exchange Commission on October 29 and November 12, 2002 on optimal financial market structure. Criticism on the agency; Issues addressed by the hearings.
- A MAVERICK ACHIEVES SOMETHING NOBLER THAN SIMPLE REBELLION: WHY SHARESLEUTH IS LEGAL UNDER SECTION 10(b) AND RULE 10b-5, AND WHY IT SHOULD REMAIN THAT WAY. Arnould, Matthew B. // Northwestern University Law Review;Winter2009, Vol. 103 Issue 1, p335
This article examines the legality of Cuban's Sharesleuth venture and demonstrates that Cuban has not engaged in any illegal activity. It describes the Sharesleuth business model, its publications to date, the contemporary legal standards for insider trading through an analysis of the doctrinal...