Word: sec
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Dates: during 1970-1979
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...committee's recommendations came in response to a U.S. Securities and Exchange Commission request for investor opinion on possible changes in the corporate disclosure sections of the SEC regulations...
...ACSR drafted a letter to the SEC containing its recommendations. The Harvard Corporation's subcommittee on Shareholder Responsibility will consider the draft next Monday and inform the SEC of the University's stand on the proposed changes...
Still, the Street's dependence on fixed rates is axiomatic; were it not for an emergency 8% commission increase granted last November by the SEC-a fillip that boosted fourth-quarter profits in a withering market-Wall Street as a whole would probably have lost money last year. And there is little comfort for the Street in knowing that negotiated rates are really nothing new. They went into effect four years ago on trades of $500,000 and above, a move that benefited large institutional investors such as life insurance companies, pension funds, mutual funds and banks...
...structure of the securities markets. Stalled last year because of successful lobbying efforts by the securities industry, the revived measures have now cleared the Senate and are likely to pass the House by the end of this month. Among their many features would be an order to the SEC to begin moving toward establishing a single, truly national securities market, supplanting the hodgepodge of regional exchanges that now exist. Some actions have already been taken toward the "central market." In June, transactions on other exchanges will appear on the same ticker tape as those on New York...
...SEC suit asked only for a permanent injunction against similar actions in the future-oddly enough, bribing officials of foreign governments does not in itself violate...