Several Democrats Studying 'Legalities' of Pitt's Removal
- Thursday Hearing For SEC Nominees. Duran, Nicole // American Banker;7/17/2002, Vol. 167 Issue 135, p5
Reports that U.S. Senate Banking Committee chairman Paul S. Sarbanes has scheduled a hearing on two nominees to the Securities and Exchange Commission on July 18, 2002. Nominees invited to the hearing.
- Panel to Consider SEC Chief Nominee . Blackwell, Rob // American Banker;1/30/2003, Vol. 168 Issue 20, p5
Reports that U.S. Senate Banking Committee will hold a hearing on February 5, 2003 for William H. Donaldson's nomination as a board member of the Securities and Exchange Commission. Views of President George W. Bush on Donaldson's nomination.
- Sources: Senate Wants NMS Hearing. Clary, Isabelle // Securities Industry News;6/28/2004, Vol. 16 Issue 24, p1
Reports that the U.S. Senate Banking Committee plans to hold a hearing on a market structure reform proposed by the U.S. Securities and Exchange Commission for July 2004. Purpose for the planned hearing; Concept of the trade-through rule; Criticism on the trade-through rule.
- SEC Suffers From Deregulatory Capture'. // Money Management Executive;6/1/2009, Vol. 17 Issue 22, p4
The article reports on the testimony of Mercer Bullard, law professor at the University of Mississippi School of Law and founder of Fund Democracy LLP, before the U.S. Senate Banking subcommittee hearing on May 7, 2009. Bullard cited the Securities and Exchange Commission's (SEC) state of...
- Trade-Through Battle in Senate. Clary, Isabelle // Securities Industry News;7/26/2004, Vol. 16 Issue 26, p1
Reports on a debate in the U.S. Senate Banking Committee on the trade-through rule of the Securities and Exchange Commission (SEC). Implications of trading through a market's best price; Exemptions to the rule; Stance of SEC chairman William Donaldson on the issue.
- SEC Mulls Tighter Oversight, Protections. Ackerman, Andrew // American Banker;3/27/2009, Vol. 174 Issue 59, p16
The article discusses the U.S. Securities and Exchange Commission (SEC). SEC Chairman Mary Schapiro met with the U.S. Senate Banking Committee regarding legislation for regulatory oversights which will increase investor protections. Schapiro believes that hedge funds should be required to be...
- Legislation seen as necessary to revive hedge fund registration. Halonen, Doug // Pensions & Investments;8/7/2006, Vol. 34 Issue 16, p19
The article presents information about a legislation related to hedge fund registration. The U.S. Senate Banking Committee will have to pave the way with legislation if the federal government decides to revive a regulation requiring hedge fund advisers to register with the Securities and...
- SEC Delays Reg B for Another 6 Months. Paletta, Damian // American Banker;3/9/2005, Vol. 170 Issue 46, p20
Reports the U.S. Securities and Exchange Commission will delay proposal Regulation B and give banks more time to comply with a deadline for reassigning certain securities activity. Details of Reg B, that interprets a provision in the Gramm-Leach-Bliley Act; The Senate Banking Committee's...
- Shelby Asserts Banking Committee Has Sole Jurisdiction Over SEC. Hume, Lynn // Bond Buyer;11/1/2006, Vol. 358 Issue 32499, p6
The article reports on the assertion of Senate Banking Committee chairman Richard Shelby concerning the sole jurisdiction of the committee over the U.S. Securities and Exchange Commission's enforcement and examination programs and hedge funds. According to the Alabama Republican, the Banking...