Arkansas Exempts Stephens From Ban on FA School-Bond Bids
- PRIVATE PLACEMENTS: A REGULATORY BLACK HOLE. Johnson, Jennifer J. // Delaware Journal of Corporate Law;2010, Vol. 35 Issue 1, p151
The article examines the legislative history of the National Securities Markets Improvements Act of 1996 (NSMIA), a statutory preemption of private placements in the U.S. It indicates that the preemptive statute creates a regulatory abyss that permits several questionable offerings to take...
- Revised Proposal Exempts Funds From B/D Vote Rule. // Money Management Executive;6/4/2007, Vol. 15 Issue 22, p4
The article reports that the new New York Stock Exchange (NYSE) proposal has been modified to exclude mutual funds on its list of industries that will be affected by the rule. As submitted to the Securities and Exchange Commission, the revised plan now provides that the mutual fund industry is...
- Rules and Regulations: SECURITIES AND EXCHANGE COMMISSION. // Federal Register;2/10/2014, p7570
The article offers information on the interim rule proposed by the U.S. Securities and Exchange Commission. It states that the Commission is adopting changes to the expiration date of its temporary final rules for security-based swaps exemptions that are speculated to expire on July 16, 2011. It...
- FSA Case Could Raise Premiums. Hanson, Matthew; Hume, Lynn // Bond Buyer;9/20/2007, Vol. 361 Issue 32717, p1
The article reports on the issues concerning a federal appellate court panel's ruling against bond insurer Financial Security Assurance Inc. (FSA) in Atlanta, Georgia. According to the report, the ruling has drawn strong reactions from market participants. The three-judge panel for the U.S....
- APPENDIX A: Federal and State Exemption Tables. // New Bankruptcy (9781413310252);May2009, p227
A variety of federal and state exemptions in the U.S. related to the book "The New Bankruptcy," are presented.
- SEC Bans Former Stephen Vice President From Market. Hume, Lynn // Bond Buyer;12/27/2005, Vol. 354 Issue 32286, p25
The article reports that Michael S. DeVegter, a former vice president of Stephens Inc., has been banned by the Securities and Exchange Commission (SEC) from the securities markets of the U.S. in 2005. DeVegter was also ordered by the SEC to settle charges of alleged securities fraud pertaining...
- THE BANKRUPTCY COMMISSION'S PROPOSAL REGARDING BANKRUPTS' EXEMPTION RIGHTS. Vukowich, William T. // California Law Review;Dec75, Vol. 63 Issue 6, p1439
Addresses the problems implicit in reliance on state exemption laws in bankruptcy in the U.S. Adoption of a uniform scheme of bankruptcy exemptions; Problems that a uniform exemption scheme would raise; Suggestions for strengthening the Bankruptcy Commission's Proposed Act.
- THE IOWA UNIFORM SECURITIES ACT EXEMPTIONS PART II: THE TRANSACTION EXEMPTIONS*. Hansell, Edgar F.; Neumann Jr., G.R. // Journal of Corporation Law;Summer78, Vol. 3 Issue 3, p437
This is the second of two articles appearing in The Journal of Corporation Law on the Iowa Uniform Securities Act (Iowa Act) exemptions. The goal of the two articles is to provide attorneys with a better understanding of the scope and application of each exemption under the Iowa Act. Since the...
- Taking a look at union dues. Jacobson, Louis // National Journal;2/01/97, Vol. 29 Issue 5, p230
Discusses the proposed bill on the use of membership dues from tax-exempt groups for political and lobbying activities in the United States. Required information for members; Effect on unions and farm groups; Introduction of a similar bill in the Senate by Orrin G. Hatch.