SEC Proposal Would Alter Exchanges&#39; Self-Regulation
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Federal regulators proposed a plan on Tuesday to strengthen governance at stock exchanges and move them toward separating their self-policing functions from business operations to ensure that they serve investors&#39; interests.
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Description: A divided Securities and Exchange Commission will likely approve new regulations governing the hedge fund industry. Under the rules, all but the smallest hedge funds would be required to register with federal regulators.
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A Securities and Exchange Commission official yesterday signaled that the agency may grant foreign companies whose stock trades on U.S. exchanges a brief delay to comply with a controversial accounting reform.
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U.S. stock markets would have to disclose executive pay and provide details of their regulatory programs, under new rules proposed by the Securities and Exchange Commission on Tuesday.
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Positioning itself to buy or sell other regional exchanges, the Boston Stock Exchange yesterday said it plans to switch from a member-owned structure to a shareholder-owned company.
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The Securities and Exchange Commission (SEC) is giving securities brokers up to November 2005 to shift to the use of risk-based capital adequacy standards from the current net capital standards.
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The two largest U.S. stock exchanges  are likely to benefit from a decision by U.S. regulators to  delay sweeping changes that could shake up how stocks are  traded, analysts said on Friday.
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The Securities and Exchange Commission chairman said the commission would consider making modest changes to regulations adopted after a wave of corporate scandals.
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WASHINGTON (CBS.MW) -- In a move aimed at fostering greater transparency, the Securities and Exchange Commission voted Tuesday to consider rules that would require exchanges like the NASD and New York Stock Exchange to provide the agency with more
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Federal regulators proposed Tuesday to loosen the &quot;quiet period&quot; rule, a Depression-era regulation meant to prevent companies poised to sell stock or bonds to the public from promoting the securities.
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A patent application turned up by the Associated Press reveals that IBM has proposed an electronic trading system that would enable a new kind of derivatives market for intellectual property. In this market, traders would buy and sell "floating" rights to chunks of a company's IP portfolio, thus becoming not only the recipient of royalties from that portfolio, but the designated defender of those IP rights in court, for a limited period of time.
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An independent committee will call on Thursday for a sweeping overhaul of securities market regulations.
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The U.S. Securities and Exchange  Commission will vote soon on new governance and disclosure  rules for the groups that oversee America's stock markets, SEC  Chairman William Donaldson said on Thursday.
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The independent panel will consider changes in laws and regulations with the intent of making American markets more competitive.
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A rule change at the New York Stock  Exchange will allow brokers on its trading floor to handle  non-NYSE listed stocks, in a move meant to stem trading share  losses to newer competitors.
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The proposal follows a scandal at the New York Stock Exchange and government sanctions against several other exchanges, to ensure that they serve investors' interest.
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The NASD and NYSE are to consolidate regulatory functions.