Lawmakers Differ Over Search for SEC Head, Scandals
- SEC to Hold Meeting on ABS Disclosures. // Private Placement Letter;4/12/2010, p7
The article presents information on an open meeting called by the U.S. Securities and Exchange Commission (SEC) on April 7, 2010 to discuss about revisions to Regulation AB and other rules.
- SEC Conference Notes. // SCOR Report;2001 Mid-Year Review, Vol. 8 Issue 10, p1
Presents notes from the 20th annual U.S. Securities and Exchange Commission Small Business Capital Formation Conference in 2001.
- SEC Open Meeting. // ComplyNet;Dec2008, p17
The article offers information on an Open Meeting that will be held by the U.S. Securities & Exchange Commission (SEC) on December 17, 2008.
- SEC: Working With RMBS Group Aids Investigations. Khuzami, Robert // National Mortgage News;2/13/2012, Vol. 36 Issue 20, p4
The article argues against he and his colleagues' pursuit of financial crisis and actions at the U.S. Securities and Exchange Commission (SEC) that support the Residential Mortgage Backed Securities (RMBS) Working Group which focused on misconduct of higher corporate levels or institutions.
- US SEC proposes new rules for dodgy CPAs. // Accountancy;Jul98, Vol. 122 Issue 1259, p12
The article reports that the U.S. Securities and Exchange Commission (SEC) is proposing to amend its rules to specify when accountants engages in improper professional conduct. The amendment defines the improper conduct as "an intentional or knowing violation." The SEC would also consider...
- SEC Plans Hedge Fund Roundtable. Cohen, Judy Radler // Investment Management Weekly;4/14/2003, Vol. 16 Issue 15, p4
Deals with the plans of the U.S. Securities and Exchange Commission to conduct hedge fund roundtable discussions in May 2003. Reasons for the plan; Emergence of hedge funds; Schedule of roundtable discussions.
- An Eye on Traders. // Traders Magazine;Aug2000, Vol. 13 Issue 171, p14
Looks at the issues to be discussed by stock trading professionals in the United States (U.S.) for their year 2000 congress. Decimalization of stock trading; Rule of the U.S. Securities and Exchange Commission on short sales; Stock market fragmentation.
- Regulators need to keep a sharp eye on fees. // American Banker;3/31/1998 Supplement, Vol. 163, p10
Presents an excerpt from the keynote address of Barry P. Barbash, head of the United States Securities Exchange Commission's division of investment management, presented at the annual mutual fund and investment management conference in Orlando, Florida during the week of March 23, 1998. Basis...
- SEC training for Mississippi issuers expected to be 2-way street. Hume, Lynn // Bond Buyer;06/25/99, Vol. 328 Issue 30670, p5
Reports participation of the Securities and Exchange Commission (SEC) in the Mississippi Municipal Association annual convention in Biloxi, Mississippi. Convention impact on securities law obligations of local officials; SEC enforcement actions against note financing violations of localities;...