TITLE

SEC Probing Muni Deals

AUTHOR(S)
Hume, Lynn
PUB. DATE
September 2003
SOURCE
Bond Buyer;9/19/2003, Vol. 345 Issue 31723, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the investigations conducted by the Securities and Exchange Commission involving municipal securities in the U.S. Bond deals focused in the investigations; Civil and criminal charges filed against lawyers participating in the bond issuance; Disclosure of faulty documents by municipal securities.
ACCESSION #
10898609

 

Related Articles

  • SEC, NASD Probing Dealer Gifts and Gratuities Industry-Wide. Hume, Lynn // Bond Buyer;2/14/2005, Vol. 351 Issue 32070, p4 

    Reports that the Securities and Exchange Commission and the National Association of Securities Dealers are conducting an industry-wide investigations of dealer gifts and gratuities that could touch on municipal bonds as well as other securities and mutual bonds in the United States.

  • SEC Launches Home Care Therapy Investigation.  // Eli's Home Care Week;2010, Vol. 19 Issue 25, p194 

    The article reports that the Securities and Exchange Commission has conducted home care therapy investigations in the U.S.

  • SEC Launches Probe of Miami-Dade Health Care Deal. Sigo, Shelly // Bond Buyer;4/22/2010, Vol. 372 Issue 33304, p4 

    The article reports on the move of the U.S. Securities and Exchange Commission (SEC) to open an investigation on the 83.3 million dollars bond deal sold by Miami-Dade County, Florida in 2009 on behalf of the county's Public Health Trust (PHT).

  • SEC to Start Muni Hearings Sept. 21: San Francisco Meeting to Be First of Five. Hume, Lynn // Bond Buyer;9/8/2010, Vol. 373 Issue 33379, p1 

    The article reports that the Securities and Exchange Commission (SEC) will start its hearing on municipal market in San Francisco, California on September 21, 2010. The hearing will examine Municipal Securities Rulemaking Board (MSRB), Build America Bonds (BAB), investor protection and...

  • Cox:All ARS Dealers Scrutinized. Ackerman, Andrew; Fox, Lynne // Bond Buyer;8/20/2008, Vol. 365 Issue 32944, p1 

    The article reports on the investigation conducted by state and federal regulators to major banks and broker-dealers regarding their sales of auction-rate securities (ARS) to retail investors in the U.S. Securities and Exchange Commission (SEC) chairman Christopher Cox urged state regulators to...

  • Municipal Mutual Fund Pricing Appears to Be in SEC Crosshairs. Hume, Lynn // Bond Buyer;11/5/2003, Vol. 346 Issue 31755, p1 

    Reports on the investigation of the municipal bond pricing among the mutual fund issues by the U.S. Securities and Exchange Commission. Result of the dramatic repricing of the net asset values of mutual funds; Violations of the securities laws; Assessment of the pricing methodology.

  • Real Estate Deal in Pennsylvania Comes Under Investigation by SEC. Braun, Martin Z. // Bond Buyer;7/18/2002, Vol. 341 Issue 31430, p1 

    Focuses on the investigation of the 1998 Pennsylvania real estate deal of the Dauphin County General Authority conducted by the U.S. Securities and Exchange Commission. Allegations of Dauphin county officials; Refusal of solicitors to confirm or deny the investigation; Pursuance of county...

  • 'WELLS SUBMISSIONS' TO THE SEC AS OFFERS OF SETTLEMENT UNDER FEDERAL RULE OF EVIDENCE 408 AND THEIR PROTECTION FROM THIRD-PARTY DISCOVERY. Naftalis, Joshua A. // Columbia Law Review;Nov2002, Vol. 102 Issue 7, p1912 

    The "Wells submission" process represents a critical phase in SEC investigations. These submissions provide prospective defendants the opportunity to dissuade the SEC from bringing formal actions against them; likewise, the Commission and its staff rely upon the arguments contained in these...

  • US watchdog puts pressure on SkillSoft.  // IT Training;Mar2003, p7 

    Reports that the U.S. Securities and Exchange Commission has launched an official investigation into the activities SkillSoft Corp.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sign out of this library

Other Topics