Article: Sen. Baucus Introduces Energy Independence and Investment Act

Article: Presto expects SEC lawsuit to allege investment ...
The Milwaukee Journal Sentinel;  July 16, 2002 ;     700+ words ...Presto expects SEC lawsuit to allege investment act violations By TOM DAYKIN ... several years by the SEC for alleged violations ... should be subject to the investment act because more than 80 ... Presto criticized the SEC and said the company ...

Article: SEC Declines to Grant Alliance Semiconductor an Exemption ...
Business Wire;  March 5, 2002 ;     700+ words ... ... and Exchange Commission ("SEC") has decided not to support ... s potential status as an Investment Act of 1940 reporting company, the SEC taking action against the ... avoid being subject to the Investment Act of 1940; and the risk factors ...

Article: SEC LOSES LAWSUIT ON EXEMPTIONS ISSUE: Merrill Lynch rule' ...
On Wall Street;  May 1, 2007 ;     700+ words ... ... disruption to our customers while we wait for the SEC to provide interim guidance which conforms ... some regulatory uncertainty" until the SEC and firms go through the process of converting ... investment advisors, has long claimed that the SEC rule allowed different fiduciary standards ...

Article: SEC fines USAA adviser for alleged violations of ...
The Bond Buyer;  January 25, 1993 ;     659 words ... ... Harrop, admitted or denied guilt, the SEC alleged both the company and Harrop "aided ... net-asset value of the securities. The SEC charged that from July 1989 to November ... its short-term debt instruments," the SEC said. The tax-exempt fund's board had ...

Article: Mixed reaction follows SEC proposal on investment ...
National Underwriter Life & Health-Financial Services Edition;  June 1, 1992 ;     700+ words ... ... announced by Richard Breeden, chairman of the SEC, at the annual meeting of the Investment ... Council of Life Insurance said that "the SEC is duplicating what the Department of Labor ... the Investment Company Act. "What the SEC staff is proposing to do," Mr. Roth explained ...

Article: Legislation: SEC Seeks Changes To Investment ...
The Bond Buyer;  November 12, 2001 ;     412 words ... ... companies to merge without obtaining a specific exemption from the SEC. The proposed amendments to Rule 17a-18 are designed to permit ... numbers of mergers that currently do not fit under the rule, the SEC said. Copyright c 2001 Thomson Financial. All Rights Reserved ...

Article: Rep. DeLauro Introduces Farm, Nutrition, Community ...
US Fed News Service, Including US State News;  June 12, 2007 ;     700+ words ... ... Nutrition, and Community Investment Act of 2007 (H.R. 2144 ... Nutrition, and Community Investment Act of 2007H.R. 2144To ... Nutrition, and Community Investment Act of 2007'.(b) Table ... Act is as follows:Sec. 1. Short title and ...