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Your search keyword '"Corey, Ethan"' showing total 4 results
Start Over Author "Corey, Ethan" Topic government regulation
4 results on '"Corey, Ethan"'

1. SEC adopts regulation NMS: a new beginning or let the games begin?

Author

Corey, Ethan D.

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Securities industry -- Laws, regulations and rules, Government regulation, Securities industry, Banking, finance and accounting industries, Business, Law, Securities Act Amendments of 1975
Abstract

In 1975, Congress passed the Securities Acts Amendments of 1975 (1975 Amendments), which enacted wholesale changes to the federal securities laws. One particular area of focus was the US equity [...]

Published
2005

2. SEC publishes notice of NASD proposed interpretation concerning use of investment analysis tools; proposal generates significant comments

Author

Kanter, Jane A. and Corey, Ethan D.

Subjects
United States. Securities and Exchange Commission -- Reports -- Laws, regulations and rules, Investment analysis -- Laws, regulations and rules -- Reports, Government regulation, Banking, finance and accounting industries, Business, Law, National Association of Securities Dealers Inc. -- Laws, regulations and rules -- Reports
Abstract

On March 28, 2003, the Securities and Exchange Commission (SEC) published notice of a proposed rule change filed by the National Association of Securities Dealers, Inc. (NASD). [Securities Exch. Act [...]

Published
2003

3. Marketing and distribution developments Dechert--Washington DC

Author

Kanter, Jane A. and Corey, Ethan D.

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Securities industry -- Laws, regulations and rules, Securities dealers -- Laws, regulations and rules, Securities industry, Government regulation, Banking, finance and accounting industries, Business, Law
Abstract

SEC Publishes Notice of NASD Proposed Amendments to Rules Governing Member Communications On December 20, 2001, the Securities and Exchange Commission (SEC) published notice of a proposed rule change filed [...]

Published
2002

4. Marketing and distribution developments: Dechert--Washington, DC. (Regulatory Monitor)

Author

Kanter, Jane A. and Corey, Ethan D.

Subjects
United States. Securities and Exchange Commission, Securities industry -- Laws, regulations and rules, Securities industry, Government regulation, Company business planning, Banking, finance and accounting industries, Business, Law, National Association of Securities Dealers Inc. -- Laws, regulations and rules, National Association of Securities Dealers Inc. -- Planning
Abstract

NASD Proposes Changes to Best Execution Rule The National Association of Securities Dealers, Inc. (NASD) has proposed amendments to NASD Conduct Rule 2320 (Best Execution Rule). (1) The amendments would [...]

Published
2002

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