The No-Punch-Back Theory of Regulation
- Negotiated Note Sales. // Bondbuyer.com;10/9/2014, p6
A chart is presented that lists negotiated notes in the U.S. marker as of October 2014.
- Reg AB Raises More Questions. // National Mortgage News;9/11/2006, Vol. 30 Issue 48, p8
The article reports on the statement of Fitch Ratings Inc. that the requirements imposed on U.S. loan servicers by the new Reg AB has given rise to more questions despite the series of interpretations issued by the Securities and Regulation Commission. Fitch said that the ambiguity revolves...
- Municipal Bond Activities. // Bond Buyer;6/18/2009, Vol. 368 Issue 33134, p6
A calendar of events for the U.S. areas on June 23-October 16, 2009 is presented which includes the Standard & Poor's Corp. seminar on Higher Education Credit Trends, the fundamentals of economic development finance course by the Council of Development Finance Agencies, and disclosure in...
- Results of Negotiated Sales. // Bond Buyer;3/17/2006, Vol. 355 Issue 32341, p14
The article presents a list of negotiated sales of government securities in the U.S. The list includes Willcox Municipal Property Corp., Conway Public Services Board, Connecticut Health and Educational Facilities Authority, Contra Costa County, and Hawaii Department of Budget and Finance.
- Auction-Rates Enjoy Turnaround As Volume Jumps Nearly 50%. D'Ambrosio, Jill // Bond Buyer;8/7/2006, Vol. 358 Issue 32439, p4A
The article reports on the recovery of auction-rate securities for the first half of 2006. The auction-rate volume increased by nearly 50 percent with $19.9 billion spread over 161 issues as compared to about $13.3 billion over 154 issues in 2005. According to the article, the increased in...
- SEC's Redemption Fee Rule Goes Live. Curtis, Carol E. // Securities Industry News;10/22/2007, Vol. 19 Issue 36, p1
The article reports on the implementation of the U.S. Securities & Exchange Commission's 22c-2, or the redemption-fee rule, in October 2007. The rule requires mutual fund boards to determine whether short-term redemption fees are necessary to prevent market-timing abuses in their funds. The...
- Ofac Moves to Increase Transparency. Sandman, John // Securities Industry News;10/29/2007, Vol. 19 Issue 37, p1
This article reports on the plan of the Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury to increase the transparency of its sanctions process and provide enhanced risk guidelines for broker-dealers. The sanction increase is in response to cross-border exchange...
- MARKET SNAPSHOT: Monday, May 16. // Bond Buyer;5/17/2005, Vol. 352 Issue 32134, p2
This article presents a statistical representation of the securities markets of the U.S. as of May 16, 2005.
- Commissioners Take Action. Fry, Kate // Best's Review;Nov2007, Vol. 108 Issue 7, p11
The article focuses on the informal meeting organized by representatives from numerous insurance departments in response to declining investment securities on November 21, 1907 in the U.S. According to the author, the commissioners have agreed that the present market conditions does not...