Merrill Analyst Faults Disclosure in SEC's Bond Fraud Case
- SEC Formally Dismisses Charges Against PFC, Fowler in Dolphin & Bradbury Case. Hume, Lynn // Bond Buyer;8/7/2006, Vol. 358 Issue 32439, p4
The article reports that the U.S. Securities and Exchange Commission (SEC) has dismissed charges that its enforcement staff had filed against financial advisory firm, Public Finance Consultants Inc. (PFC) and its president, Robert D. Fowler. According to the article, the SEC staff had charged...
- Commentary: Long-Awaited Municipal Advisor Regulation Should Not Restrict Issuers. // Bond Buyer;11/7/2013, Vol. 122 Issue 34009, p1
The authors' reflect on the approval of a final rule defining municipal advisors by the U.S. Securities and Exchange Commission (SEC). They inform that the final rule is long-awaited will permit the Municipal Securities Rulemaking Board to move forward on regulations governing the activities of...
- As Promised, Pitt Launches SEC-Wide Review. Hume, Lynn // Bond Buyer;3/21/2002, Vol. 339 Issue 31349, p30
Reports developments on bonds in the U.S. after March 2002. Launch of four month study of the commissions resources by the Securities and Exchange Commission; Approval of Municipal Securities Rulemaking Board on rule for fair dealing; Demotion of general obligation rating of Cranston by Fitch...
- Democrats, GAO Blast SEC on Low Disgorgement Collections. Hume, Lynn // Bond Buyer;7/25/2002, Vol. 341 Issue 31435, p5
Reports the changes implemented by the U.S. Securities and Exchange Commission on its accounting program. Development of collection program; Options in dealing with increase workload of the enforcement staff; Improvements in the monitoring of disgorgement collections.
- Underwriters queried on political gifts. Cintron, Hiram // Caribbean Business;7/1/1993, Vol. 21 Issue 26, p10
Reports on the United States Securities and Exchange Commission's (SEC) letters to municipal bond underwriters asking for details concerning political contributions to government officials. Bonds issued by the government of Puerto Rico and its instrumentalities as highly prized; SEC's purpose;...
- SEC joins the Investigation Brigade for Bell, Calif. Saskal, Rich // Bond Buyer;10/19/2010, Vol. 374 Issue 33400, p4
The article reports that the Securities and Exchange Commission (SEC) joins the investigation regarding the bonds issue and financial policies issued by Bell, California.
- 3 Disclosure Strikeouts For Issuers? HEMMERDINGER, JONATHAN // Bond Buyer;10/22/2012, Vol. 382 Issue 33800, p1
The article informs that the U.S. Securities and Exchange Commission should adopt three-strike system for bond issuers to set the disclosure standards for them.
- SEC Probes Troubled Calif. City. Saskal, Rich // Bond Buyer;9/20/2010, Vol. 373 Issue 33385, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) will conduct an investigation on the bonds issued by Victorville, California because of its debt issue and financial problems.
- SEC to flush more public deals. Jovin, Ellen // Treasury & Risk Management;Jan/Feb98, Vol. 8 Issue 1, p15
States that the Securities and Exchange Commission (SEC) plans to encourage more bond issuers to the public market and away from the private 144a market. Benefits of companies filing under Rule 144a to sell their securities; Value of publicly issued for December 1997; When the SEC will issue a...