House Bill Would Expand SEC Authority, Including Over Muni Clearing Entities
- Washington alert. // Bond Buyer;11/08/99, Vol. 330 Issue 30764, p3A
Focuses on the consideration of a bill proposed to raise the low-income housing tax credit limit as a part of a minimum-wage increase bill. Demands for the modification or withdrawal of the U.S. Securities and Exchange Commission (SEC) rule by the securities industry officials, state...
- Significant 1990 Legislative and Regulatory Developments. // Business Lawyer;May91, Vol. 46 Issue 3, p973
Examines the legislative development of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990 for the United States Securities and Exchange Commission. Enactment of the Enforcement Remedies Act; Characteristics of the Act; Implication of the Act to the advancement of the...
- House, in 422-to-4 Vote, OKs $776 Million SEC Budget. Ferris, Craig T. // Bond Buyer;6/27/2002, Vol. 340 Issue 31417, p4
Reports the approval of the legislative bill authorizing the increase of the 2003 Securities and Exchange Commission budget by the U.S. House of Senate. Amount of funds; Provisions of the bill; Plans of rising the salaries of the public officials.
- Bill Introduced to Reduce SEC Fees, Boost Employee Pay. Hume, Lynn // Bond Buyer;01/26/2001, Vol. 335 Issue 31065, p5
Reports the bill introduced by senators Phil Gramm and Charles Schumer reducing the United States Securities and Exchange Commission fees and allows the SEC to increase the pay wages of employees. Benefit of the fee reductions for investors; Aim of the pay provisions; Penalty for excessive...
- Nov. 5th Fallout Could Impact SEC's Pitt, Housing Legislation. Hume, Lynn; Vadum, Matthew // Bond Buyer;10/31/2002, Vol. 342 Issue 31503, p1
Reports that a shift to the Republican control of the U.S. Senate due to elections as of November 5, 2002 could have an impact on the Securities and Exchange Commission (SEC) of the country. Possible effect of the shift on housing legislations pending in the Senate; Democrats' call for the...
- Sarbanes-Oxley Act. // Accountancy;May2003, Vol. 131 Issue 1317, p13
Reports on the U.S. Securities and Exchange Commission's plan to give formal recognition to the Public Company Accounting Oversight Board, as part of the Sarbanes-Oxley Act.
- The New Realty of Being a Corporate Executive. Ivey, Christopher // Orange County Business Journal;9/2/2002, Vol. 25 Issue 35, p4
Reports the implementation of the Sarbanes-Oxley Act of 2002 by the Securities and Exchange Commission in the U.S. Development of integrity in the capital market; Responsibilities of the public companies; Enhancement of business ethics.
- Regulatory Outlook for 2002. Brent, Andrew // Investment Management Weekly;1/7/2002, Vol. 15 Issue 1, pN.PAG
Focuses on the fund regulation and proposed legislations in the year 2002 in the U.S. Issue of alternative investment regulation raised by the U.S. Securities and Exchange Commission; Bills related to the retirement plan advice introduced in the U.S. House; Support in favor of deferring of...
- New Rules on Independence, Workpaper Retention, and Disclosure Under Sarbanes-Oxley. Fitzsimons, Adrian P.; Zollo, Raynard A. // Bank Accounting & Finance (08943958);Apr2003, Vol. 16 Issue 3, p33
Reports on rules on independence, workpaper retention and disclosure under Sarbanes-Oxley Act of 2002 isued by the U.S. Securities and Exchange Commission. Discussion on auditor independence; Retention of records relevant to audits and reviews; Disclosure of off-balance-sheet arrangements and...