SEC Watches Dealers and Rule 15c2-12
- Regulation FD changes rules of profit-surprise game. // Dow Theory Forecasts;1/29/2001, Vol. 57 Issue 5, p1
Reports the regulation on the market-moving information disclosure by the U.S. Securities and Exchange Commission. Impact of the Regulation Fair Disclosure (FD) on the stock price; Implication of the regulation for the explicit earnings guidance of companies; Usefulness of Regulation FD on...
- SEC to Clarify Disclosure Rules; Delay Likely. Hendrickson, Mark // Securities Industry News;02/26/2001, Vol. 13 Issue 9, p1
Reports plans of the Securities and Exchange Commission to issue an interpretative guidance on implementing quality disclosure rules in the United States. Need for public disclosure of order-routing practices of brokers; Concerns over internalization and market fragmentation; Rationale for the...
- Texas MAC Aiming to Start New Disclosure Post Office by July '04. Hume, Lynn // Bond Buyer;12/9/2003, Vol. 346 Issue 31777, p1
Reports that the Municipal Advisory Council of Texas has worked to develop an operation of the Muni Council's new central post disclosure facility. Regulatory processes mandated by the U.S. Securities and Exchange Commission; Discussion of disclosure issues; Features of the Muni Council.
- SEC Adopts Insider Trading Rule. Nielsen, Karol // Chemical Week;8/23/2000, Vol. 162 Issue 32, p8
Reports the approval of the United States Securities and Exchange Commission (SEC) to a rule that prohibits selective disclosure in which publicly traded companies provided information to analysts. Concerns received by SEC about the rule; Implication of the rules to companies.
- SEC Issues Disclosure Ruling. Hodges, J. // Internal Auditor;Dec2000, Vol. 57 Issue 6, p11
Focuses on the Regulation Fair Disclosure passed by the United States Securities and Exchange Commission on October 23, 2000. Provisions of the ruling; Why publishing significant amounts of company information on the Web raises issues about the accuracy of the material; Concern for...
- SEC looks to tighten rules for fair disclosure. Groedel, Howard // Crain's Cleveland Business;03/27/2000, Vol. 21 Issue 13, p29
Focuses on the United States Securities and Exchange Commission's plans to tighten rules for fair corporate disclosures. Goal of giving stock investors equal access to corporate details and plans prior to and after initial public offerings (IPO); Ban on selective disclosure; Internet...
- The expanding scope of SEC disclosure laws. Flom, Joseph H.; Atkins, Peter A. // Management Review;Oct74, Vol. 63 Issue 10, p36
Reports on the expanding scope of the disclosure laws by the U.S. Securities and Exchange Commission. Disclosure guidelines; Procedures when making the announcement; Implications on laws governing the provision of information by public companies to the investors.
- FINAL RULE REQUIREMENTS. // Compliance Week;Apr2010, Vol. 7 Issue 75, p6
An excerpt from the U.S. Securities and Exchange Commission's (SEC) rule on new proxy disclosures is presented.
- SEC Officials Open to Changing 15c2-12 Disclosure Amendments. Hume, Lynn // Bond Buyer;11/12/2001, Vol. 338 Issue 31263, p1
Reports on the decision of the U.S. Securities and Exchange Commission (SEC) officials to rethink some aspects of Rule 15c2-12's secondary market disclosure requirements, in view of the technological advancements that have occurred since the issuance of the rule. Uncertainties regarding the...