Quarterly survey of SEC rulemaking and major appellate decisions
Article Abstract:
The authors outline major SEC rulemaking actions and appellate decisions made during the third quarter of 1999.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 2000
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Quarterly survey of SEC rulemaking and major appellate decisions
Article Abstract:
Decisions and rules made by the SEC in the second quarter of 1992 are surveyed. Rules issues highlighted include executive compensation disclosure, proxy reform, amendments to short sale rule and penny stock reform. Issues of appellate decisions include fraud prevention and arbitration.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 1992
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Quarterly survey of SEC rulemaking and major appellate decisions
Article Abstract:
The SEC proposed changes to securities laws in the first quarter of 1997. It proposed amendments to Regulation S pertaining to the offshore sale of equity securities by US issuers and to foreign issuers whose principal market is the US. The SEC also proposed allowing smaller companies to price securities on a delayed basis. In addition, the SEC approved amendments allowing broker-dealers to keep use electronic storage media to keep records.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 1997
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