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.

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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.

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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.

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