Regulation: SEC to Publish Proposed SMMP Concept, Seeking Comment
- Merry Christmas! Risk Retention Rules Published in Federal Register. Bisbey, Allison // High Yield Report;12/29/2014, p1
The article informs that the U.S. Federal Register has published final rules requiring sponsors of Collateralized Loan Obligations (CLO) to comply by December 24, 2016. Topics discussed include impact of rules on consolidation of smaller CLO managers, change in the composition of the loan market...
- THE BOND BUYER LEGISLATIVE STATUS REPORT. // Bond Buyer;9/7/2004, Vol. 349 Issue 31963, p6
The article presents a table showing the current and proposed law regarding bonds. It is informed that under the Emergency Securities Response Act of 2003, the current law states that the Securities and Exchange Commission (SEC) has authority to issue emergency orders in crisis situations, such...
- Notices: SECURITIES AND EXCHANGE COMMISSION. // Federal Register (National Archives & Records Service, Office of;10/31/2013, Vol. 78 Issue 211, p65396
The article offers information on the rules and regulations from the U.S. Securities and Exchange Commission (SEC). It states that the proposed rules change established for the trading of listed options in the U.S. Office of the Federal Register. It also notes that the SEC should approve the...
- Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;7/3/2012, Vol. 77 Issue 128, p39551
The article discusses a proposed rule to amend the Equity Rule 4758 of NASDAQ Stock Market LLC to describe the error account for NASDAQ Execution Services (NES). It says that the proposal has been published for comment in the U.S. Federal Register on May 16, 2012. It adds that the U.S....
- Warning on Escrow Debt. Hume, Lynn // Bond Buyer;8/5/2002, Vol. 341 Issue 31442, p1
Reports the warning of the Securities and Exchange Commission to the municipal bond issuers in the U.S. Assessment of the enforcement actions; Issuance of information to the investors on the optional call rights; Assessment of the securities laws.
- SEC Approves MSRB Amendment to G-40. Ferris, Craig T. // Bond Buyer;8/13/2002, Vol. 341 Issue 31448, p4
Reports the approval of the G-40 rule of the Municipal Securities Rulemaking Board by the Securities and Exchange Commission in the U.S. Appointment of contact person by the municipal securities dealer; Management of the electronic-mail communications; Distinction of the contact personnel.
- MSRB Sends SEC Proposal to Increase Trade Data Reporting. Hume, Lynn // Bond Buyer;9/25/2002, Vol. 341 Issue 31478, p5
Reports the proposal of the Municipal Securities Rulemaking Board of the Securities and Exchange Commission to increase the number of municipal bond trades. Adaption on the concept of frequently traded; Presentation of daily transactions of bonds; Evaluation of the total par value transparency...
- MSRB Seeks Mandate to Shut Market. Hume, Lynn // Bond Buyer;12/12/2002, Vol. 342 Issue 31531, p1
Reports on the proposal submitted by the Municipal Securities Rulemaking Board (MSRB) to the U.S. Securities and Exchange Commission for allowing the shut down of municipal bond market in the event of catastrophe. Response of the officials of The Bond Market Association to the proposal;...
- SEC to Give Issuers Cash From Case, 7 Years Later. Hume, Lynn // Bond Buyer;2/14/2003, Vol. 343 Issue 31573, p32
Reports that the U.S. Securities and Exchange Commission has proposed a plan for distributing several million dollars to three municipal bond issuers in New Jersey. Details of the proposal; Names of the municipal issuers that would receive part of the amount.