Article: SEC's EIA rule may resurface; Appeals court finds commission's rulemaking "arbitrary and capricious'.(News)

Article: SEC Guidance Called Useful For NAIC.(National ...
National Underwriter Life & Health-Financial Services Edition;  November 12, 2001 ;     700+ words ... ... issue addressed by the SEC is not exactly related to current work at the National Association of Insurance Commissioners ... Last month, the SEC issued guidance regarding ... general counsel with the National Association of Independent Insurers ... Ill., says that the SEC guidance ...

Article: SEC slams NASD as failing to enforce G-37 ...
The Bond Buyer;  August 9, 1996 ;     700+ words ... ... Exchange Commission rebuked the National Association of Securities Dealers yesterday ... of the rule adequately," the SEC said in the appendix of a toughly ... constituencies of its membership," the SEC said. The SEC issued the report in announcing ...

Article: NABL members weigh SEC's stance on tax-related ...
The Bond Buyer;  April 12, 1996 ;     700+ words ... ... Three prominent members of the National Association of Bond Lawyers have published ... is chairing a NABL group on SEC enforcement issues; Sharon ... this week. McNally said the SEC, in enforcement action it ... financings.' 'Rather the SEC is reiterating its long-held ...

Article: Bond lawyers grapple with disclosure, SEC ...
The Bond Buyer;  October 2, 1995 ;     700+ words ... ... the "interpretative release" the SEC issued in March 1994 for guidance ... violating the securities fraud laws, the SEC officials said at the National Association of Bond Lawyers' annual workshop. The SEC enforcement cases all involve financings ...

Article: SEC gives NABL another dose of guidance on ...
The Bond Buyer;  September 28, 1995 ;     700+ words ... ... Commission recently provided the National Association of Bond Lawyers with a second ... effect beginning in July. The SEC sought to interpret and clarify ... McGuire, chief counsel of the SEC's division of market regulation, followed a letter that the SEC had sent NABL on June 23 responding ...

Article: Tax-related enforcement has precedent, SEC official is ...
The Bond Buyer;  February 7, 1996 ;     700+ words ... ... assistant director in the SEC's enforcement division. In addition, the SEC filed securities fraud charges ... in San Francisco by the National Association of Bond Lawyers, sources ... by NABL members about the SEC's tax-related enforcement ...

Article: SEC asks NASD to change procedures on Rule ...
The Bond Buyer;  June 21, 1995 ;     700+ words ...The SEC has asked the National Association of Securities Dealers to amend its proposed ... broker-dealer to ultimately appeal to the SEC an NASD denial of a waiver from MSRB Rule G-37. The SEC staff "is concerned that a denial of a member ...