SEC's Zehner moves to Philadelphia office
- Zehner: Don't Bury Key info Warns Against Murky Disclosure. Ackerman, Andrew // Bond Buyer;9/16/2010, Vol. 373 Issue 33384, p1
The article reports on the warning given by Mark Zehner, deputy director of the Securities and Exchange Commission's (SEC) new municipal and public pension fund enforcement unit to issuers in the U.S.
- SEC Counsel: Issuers Should Disclose Explosive Tax Opinions. Hume, Lynn // Bond Buyer;10/16/2000, Vol. 334 Issue 30996, p44
Highlights the remarks made by Mark Zehner, regional municipal securities counsel of the United States Securities and Exchange Commission on tax opinions related to municipal bonds. Provision on exploding opinions in disclosure contracts; Focus on U.S. Municipal Securities Rulemaking Board...
- Muni participants must be alert to insider trading, SEC official says. Sherman, Lynn // Bond Buyer;11/23/98, Vol. 326 Issue 30526, p6
Focuses on US Securities and Exchange Commission (SEC) attorney-fellow Mark R. Zehner's advice for municipal bond traders to ensure that the information they use to make investing decisions is available publicly, during the Municipal Analysts Group of New York lunch meeting. SEC's evaluation of...
- SEC's Disclosure Doctrine: Ignorance of Ratings Changes is No Excuse. Ackerman, Andrew // Bond Buyer;9/19/2008, Vol. 365 Issue 32965, p1
The article reports that municipal bond issuers are mandated by the U.S. Securities and Exchange Commission (SEC) to formally notify investors when the ratings on their bonds are downgraded, even if credit rating agencies do not inform them of the changes in their ratings. According to Mark...
- Zehner: IRS Letters Should be Disclosed. Hume, Lynn // Bond Buyer;9/10/2004, Vol. 349 Issue 31966, p1
This article reports that Municipal issuers receive adverse determination letters from the U.S. Internal Revenue Service (IRS) stating that the interest earnings on their bonds are taxable should file material event notices disclosing that they have received the letters. One of the...
- SEC Asks: Should Muni Bond Pricing Change in Wake of Edward Jones? Casey, Jack // Bond Buyer;9/11/2015, Vol. 1 Issue F335, p1
Should industry practices on pricing new bonds change in the wake of the SEC's enforcement case against Edward Jones?
- SEC Will Not Appeal G-38 Ruling in Ex-JPMorgan Bankers' Case. Hume, Lynn // Bond Buyer;5/25/2007, Vol. 360 Issue 32637, p6
The article reports that the U.S. Securities and Exchange Commission's (SEC) enforce division has decided not to file for an appeal on the adjourned case of JP Morgan bankers Charles E. LeCroy and Anthony Snell. The case, accordingly, was already ended by Administrative Law Judge James T. Kelly...
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.