INVESTMENT BANKING DATABASE: FIGs
- Eliminating influence by and on the research analyst: Recent enforcement activity and current regulatory priorities. Riefberg, Linda // Journal of Securities Compliance;Jan2008, Vol. 1 Issue 2, p179
In an effort to protect investors from receiving and relying upon research that is improperly influenced by undisclosed conflicts of interest, the industry has been restructured to eliminate the influence of investment banking considerations on research analysts by, among other things, limiting...
- The Time for Quant Is Now. Riepe, Mark W. // Journal of Financial Planning;Apr2005, Vol. 18 Issue 4, p22
This paper offers a look at key regulatory changes in the U.S. from 1997-2005 and reviews their impact on investment research. Regulation Fair Disclosure was approved in 2000 by the Securities and Exchange Commission (SEC), the intent of this rule is to prevent company executives from becoming...
- Analysts Shouldn't Pitch Deals, SSB Says. Jamieson, Dan // On Wall Street;Sep2002, Vol. 12 Issue 9, p17
Discusses the proposals for the further separation of research analysts from investment bankers regarding soliciting investment banking business and attending road shows in the U.S. in 2002. Proposal from Salomon Smith Barney and its parent company Citigroup; Information on the analyst reform...
- SEC Folds Muni Office Into Market Regulation. Hume, Lynn // Bond Buyer;12/07/2000, Vol. 334 Issue 31032, p6
Reports on the consolidation of the United States Securities and Exchange Commission's Office of Municipal Securities and Division of Market Regulation. Synergies between the work of the office.
- While Staff Proposes Rules, Uncertainty Surrounds. // SCOR Report;Dec2002, Vol. 43 Issue 1, p3
Discusses the staffing problems of the U.S. Securities and Exchange Commission regarding the proposed rules to implement the Sarbanes-Oxley Act.
- No new rules streaming from federal agencies. Anand, Vineeta // Pensions & Investments;1/23/1995, Vol. 23 Issue 2, p10
Reports that the US Securities and Exchange Commission is not rushing to issue new rules despite threats from the Republican majority in the US Congress. Plans of the Congressional Republicans to pass a law making it harder for government agencies to justify issuing new rules and regulations;...
- SEC to Get a New Home in Washington. Hume, Lynn // Bond Buyer;05/31/2001, Vol. 336 Issue 31150, p48
Reports on the United States Securities and Exchange Commission's plan to consolidate its headquarters offices in a larger building next to Union Station and the Thurgood Marshall Building.
- SEC Outlines Future Market Structure. Winograd, Jeffrey L. // On Wall Street;Jul2000, Vol. 10 Issue 7, p14
Highlights the general principles of the United States Securities and Exchange Commission (SEC) that will guide the government agency in the complex matter of market structure. Recognition of electronic communications network by SEC; Views of SEC on price transparency and linkages.
- SEC overhauls NY office. Furman, Phyllis; Lentz, Philip // Crain's New York Business;2/5/96, Vol. 12 Issue 6, p6
Reports on staffing changes at the Security Exchange Commission's office in New York City. Resignation of broker-dealer division chief Martin Kuperberg to head the National Association of Securities Dealers' New York office; Promotion of Carmen J. Lawrence to regional director Associate...