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bcarton posted by bcarton vote down flag
SEC ’s “Wish List” of 42 Changes It Seeks in the Federal Securities Laws.
securitiesdocket.com - 7/16/2009
SEC ’s “Wish List” of 42 Changes It Seeks in the Federal Securities Laws.
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Fox Business reports that the SEC has submitted to Congress a “wish list” of 42 changes it would like made to federal securities law. FOX Business reports that the SEC’s proposals “likely wouldn’t be brought up as legislation on their own, but could possibly be attached ...
zerohedge.blogspot.com - 7/16/2009
Why Does Goldman Need A Fed Exemption For VaR Calculations?
— zerohedge.blogspot.com — Lately the topic of Goldman's VaR has taken on significant prominence, not least because as Zero Hedge... disclosed yesterday, it hit a record high. The implications for this were large enough that even Bloomberg picked up on this story. Many readers ... (more) Why Does Goldman Need A Fed Exemption For VaR Calculations?

Comments vote down FT Alphaville found this 7/16/2009found this
foxbusiness.com - 7/16/2009
SEC Gives 'Wish List' of 42 Changes it Wants in Securities Law
— foxbusiness.com — Authorize the SEC to pay awards to individuals who provide information to the agency leading to the... successful enforcement of the federal securities laws. A regulated person who violates the securities laws in one part of the securities industry -- ... (more) SEC Gives 'Wish List' of 42 Changes it Wants in ...

Comments vote down Securities Docket found this 7/16/2009found this
sec.gov - 7/10/2009
SEC Staff Statement on California IOUs
— sec.gov — The staff of the Securities and Exchange Commission has expressed its belief that California’s recently-issued IOUs are... "securities" under federal securities law. (more) SEC Staff Statement on California IOUs

Comments vote down DealBook found this 7/10/2009found this
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Related: sec wish list 42
SEC Issues Wells Notice to Morgan Keegan & Co.
securitiesdocket.com 7/15/2009 — In a Form 8-K filed today by Regions Financial, the company announced that on July 9, 2009, its wholly-owned subsidiary, Morgan Keegan & Company, Inc., received a “Wells” notice from the Staff of the Atlanta Regional Office of the SEC. Regions Financial disclosed that the SEC ...