SEC Narrows Scope of Final Rule Requiring Analysts to Certify Views
- Local firms do what's necessary to attract brokers. Perrone, Ellen // Indianapolis Business Journal;8/21/95, Vol. 16 Issue 21, p15A
Reports on the US Securities and Exchange Commission's endorsement of an industry panel's recommendation calling for change in the manner of attracting brokers by securities firms. Offer of up-front bonuses not in investors' best interest; Prudential Securities; Smith Barney Inc.; McDonald &...
- SEC Seen Adding Broker-Dealer Classification. Barancik, Scott // American Banker;10/21/1998, Vol. 163 Issue 202, p2
Focuses on the expected approval of a broker-dealer classification by the US Securities & Exchange Commission. Permission given to broker-dealers to move swaps and options activity conducted overseas; Support of the new rules by the investment industry.
- Sell-side firms face scrutiny in soft-dollar deals. Keegan, Jeffrey // Investment Dealers' Digest;09/28/98, Vol. 64 Issue 39, p11
States that if recommendations from a United States Securities and Exchange Commission (SEC) staff report are implemented, broker-dealers may be held accountable for illegal soft-dollar arrangements. Persons who were traditionally targeted by the SEC; Definition of soft-dollar arrangements;...
- Broker's suspension reflects SEC offensive on banks. Prakash, Snigdha // American Banker;10/31/1994, Vol. 159 Issue 210, p11
Reports on the suspension of brokers by the United States Securities and Exchange Commission (SEC). SEC's move as activist posture for the monitoring of securities sales in banks; Investigation of other cases by the SEC and the Office of Comptroller of Currency.
- The Investor. Greene, Norvin R. // National Review Bulletin;3/18/1961, Vol. 10 Issue 10, p8
The article addresses the importance of analysts to investors throughout the U.S. Analysts are considered to the be principal interpreter of industry to investors. They guide the investment of individuals in pension funds, insurance companies, charitable institutions and others. The impact of...
- Fitzgerald Barred, Ordered to Pay $300,000. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p37
Reports a ban by the Securities and Exchange Commission on David Fitzgerald from association with any brokers for securities fraud charges in the U.S. Involvement of Fitzgerald with broker-dealer Pacific Genesis Group; Imposition of a monetary penalty.
- Fuzzy Rules Apply to Brokers' Analysis. Retkwa, Rosalyn // On Wall Street;Jul2002, Vol. 12 Issue 7, p22
Focuses on rules passed by the U.S. Securities and Exchange Commission (SEC) governing brokers. Exceptions to the rule; Information on a comment letter from Robert C. Mendelson, a partner at Morgan Lewis, New York City, regarding the rules of the SEC; Discussion on a need for clarifications...
- SEC Reassures Banks on Broker Rule. Garver, Rob // American Banker;2/25/2002, Vol. 167 Issue 37, p24
Focuses on the reassurance of the Securities and Exchange Commission for the banking industry to comply with proposed changes to broker-dealer registration requirements in the U.S. Provisions of the Gramm-Leach-Bliley Act; Extension on the compliance date; Issuance of the final rule.
- SEC's Disclosure Concern. Hume, Lynn // Bond Buyer;9/19/2005, Vol. 353 Issue 32220, p1
Reports on the concern of the U.S. Securities and Exchange Commission on the brokers-dealers running auction-rate securities programs. Issues involving the inadequate disclosure of information; Details of the auction-rate securities programs; Effort in investigating the dealers' disclosures.