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Countdown on Regulation B: New Challenges for Banks ( February 2005 )
The Securities and Exchange Commission recently issued proposed Regulation B to implement the bank exemptions from securities broker regulation provided by the Gramm-Leach-Bliley Act in 1999. Regulation B supercedes the SEC's final interim rules adopted in 2001 which were put on hold after banks, banking regulators, and members of Congress objected that those rules would disrupt traditional banking activities contrary to the intent of Congress. -
Yours and Your Broker's Responsibilities ( July 2000 )
A. Your Broker's Responsibility to You In most states, when a securities broker "hangs out his shingle" he . -
SEC Issues No-Action Letter Concerning Pre-Paid Forward Contracts on Equity Securities ( April 2000 )
In recent years, equity securities have become an increasingly important component of the financial portfolios of i. -
On-Line Brokerage: Keeping Apace of Cyberspace--Summary ( December 1999 )
After a series of on-line investing roundtables conducted earlier this year, Securities and Exchange Commissioner . -
Cold Calling Alert ( June 1998 )
A brochure from the Securities and Exchange Commission which tells consumers about legal rights, how to deal with cold calls, how to stop them, and how to evaluate any investment opportunity that comes their way over the phone. -
Securities and Exchange Commission Division of Enforcement Complaint Center ( January 1999 )
Publication from the Securities and Exchange Commission (SEC) which explains how to contact the SEC and other agencies about fraud.
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