SEC to Seek Comment on Funds, Investment Adviser SROs
- ICI: COMMENT PERIOD ESSENTIAL ASPECT OF NEW RULE PROCESS. // Securities Industry News;04/16/2001, Vol. 13 Issue 16, p3
Comments on the requirements applicable to self-regulatory organization filings of proposed rule changes with the United States Securities & Exchange Commission. Rule changes governing securities trading rules; Rules eligible for immediate effectiveness; Public comment period.
- Yes: The mission is over, but the agency lingers on. Macey, Jonathan R. // ABA Journal;Nov95, Vol. 81 Issue 11, p52
Calls for the abolition of the Securities and Exchange Commission (SEC). Obsolescence of the SEC; SEC's negative effect on businesses.
- No: The SEC is our best line of defense against crooks. Sommer Jr., A.A. // ABA Journal;Nov95, Vol. 81 Issue 11, p53
Emphasizes the retention of the Securities and Exchange Commission (SEC). SEC's effectiveness in regulating the securities industry and markets; SEC's addressing of the disclosure system.
- Donaldson Doesn't See Need for Fund, Adviser SROs. Hume, Lynn // Bond Buyer;3/14/2003, Vol. 343 Issue 31593, p5
Reports on views of U.S. Securities and Exchange Commission (SEC) chairman William H. Donaldson on the creation of self-regulatory organizations (SROs). Criticism of the proposal of creating SROs; Arguments in favor of the creation of SROs; Amount approved to be spent on SEC in 2003.
- Accounting Profession: Oversight, Auditor Independence, and Financial Reporting Issues: GAO-02-742R. Walker, David M. // GAO Reports;5/3/2002, p1
The accounting system's self-regulatory system for auditors, which largely depends on voluntary contributions from the accounting industry, is plagued by fragmentation, lack of coordination, poor communication, and conflicts of interest. In GAO's view, the current self-regulatory system is...
- Balancing the Load. Curtis, Carol E. // Securities Industry News;12/6/2004, Vol. 16 Issue 40, p1
Claims that several fund intermediaries are opposed to the U.S. Security and Exchange Commission's proposed hard 4 p.m. close and 2-percent early redemption fee regulations on mutual funds. Proposals of several fund supermarkets to address high frequency trading abuses; Explanation that...
- Stock Exchanges Demand Reform. Bresiger, Gregory // Traders Magazine;Sep2001, Vol. 14 Issue 187, p12
Reports on the proposed 19b-6 rule that gives stock markets a chance to compete against electronic communications networks and other electronic trading system. Probability that the proposed rule will be approved by the United States Securities and Exchange Commission; Details on the proposed...
- The SEC Targets Self-Regulation. Bresiger, Gregory // Traders Magazine;Dec2004, Vol. 17 Issue 233, p10
Reports on the plan of the U.S. Securities and Exchange Commission to publish a Self-Regulatory Organization (SRO) concept release on the inherent conflicts of self-regulation in the securities industry. Subjects covered by the SRO; Discussion of the inefficiencies of having multiple and...
- Cautious Evolution or Perennial Irresolution: Stock Market Self-Regulation During the First Seventy Years of the Securities and Exchange Commission. Seligman, Joel // Business Lawyer;Aug2004, Vol. 59 Issue 4, p1347
One of the most significant concepts in federal securities regulation is that of SEC supervision of industry self-regulation. As developed during the New Deal, securities industry self-regulation was based on two concepts. First, the impracticality of direct SEC regulation of several thousand...