ICI Calls for SEC Rule Changes To Improve Disclosure System
- SEC Approves 'Householding' Amendment to Rule G-32. Ferris, Craig T. // Bond Buyer;8/12/2002, Vol. 341 Issue 31447, p4
Reports the approval of the amendment of the Rule G-32 by the Securities and Exchange Commission in the U.S. Issuance of single statement to investors with the same address; Assessment of the implied consent; Explanation on the revoke of consent by the dealers and mutual fund companies.
- Lawyer proposes alternative pay-to-play measures to SEC. Hume, Lynn Stevens // Bond Buyer;07/31/97, Vol. 321 Issue 30199, p4
Reports on Haythe & Curley lawyer Eugene W. Harper Jr.'s proposal to the US Securities and Exchange Commission to bar dealers from underwriting municipal securities. Alternative to a controversial rule proposed by the Association of the Bar of the City of New York; Changing of federal laws to...
- Security pact. Bannister, Alan // Lawyer;1/16/2006, Vol. 20 Issue 2, p34
The article presents information on the U.S. Securities and Exchange Commission's (SEC) initiative to liberalize the deregistration process for many "foreign private issuers." The proposed amendments to rules under the Securities Exchange Act of 1934 will allow non-U.S.. issuers to terminate...
- SEC Exam Priorities Include Muni Advisors, Retail Investor Protection. Glazier, Kyle // Bond Buyer;1/14/2015, Issue 34242, p1
The Securities and Exchange Commission's examination focuses for 2015 include issues related to protecting retail investors and assessing the compliance of municipal advisor firms, the commission announced Tuesday.
- The Erosion of the Materiality Standard in the Enforcement of the Federal Securities Laws. Sauer, Richard C. // Business Lawyer;Feb2007, Vol. 62 Issue 2, p317
The disclosure requirements at the heart of the federal securities involve a delicate and complex balancing act. Too little information provides an inadequate basis for investment decisions; too much can muddle and diffuse disclosure and thereby lessen its usefulness. The legal concept of...
- SEC Seeking Comments on Disclosure Rule. Glazier, Kyle // Bond Buyer;11/26/2014, Issue 34217, p1
The Securities and Exchange Commission is seeking public comments on the collection of disclosure information under its Rule 15c2-12, but may get proposed revisions to the rule and criticism that its estimated burdens for compliance are unrealistically low, some sources said.
- Judge Names Dec. 4 for LeCroy, Snell Hearing. Hume, Lynn // Bond Buyer;11/7/2006, Vol. 358 Issue 32503, p5
The article reports on the move of judge James T. Kelly to schedule a public hearing on the case of the U.S. Securities and Exchange Commission against former bankers Charles E. LeCroy and Anthony C. Snell in Philadelphia, Pennsylvania. Kelly wants to discuss allegations of the bankers'...
- SEC Approves New Rule On 529 Plan Disclosures. Glazier, Kyle // Bond Buyer;2/25/2014, Vol. 123 Issue 34065, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) has approved the New Rule G-45, according to which underwriters of 529 college savings plans will have to submit financial information to the Municipal Securities Rulemaking Board (MSRB) twice a year as of February 2014....
- SEC Urges Muni Issuers, Underwriters to Report Violations. Glazier, Kyle // Bond Buyer;3/12/2014, Vol. 123 Issue 34074, p1
The article focuses on the Municipalities Continuing Disclosure Cooperation Initiative by the U.S. Securities and Exchange Commission (SEC) to encourage issuers and underwriters of municipal securities to voluntarily report for violations of the federal securities laws as of March 2014. Topics...