Pennsylvania County Asks SEC, State to Probe Muni Deals
- MSRB: Dealers Must Disclose Bonds' OID Status at or Before Trade. Hume, Lynn // Bond Buyer;1/6/2005, Vol. 351 Issue 32044, p5
The article reports that the Municipal Securities Rulemaking Board (MSRB) filed with the U.S. Securities and Exchange Commission a change to its Rule G-17 on fair dealing explicitly stating that dealers must disclose to investors at or before the time of trade whether the bonds they are buying...
- SEC Agrees to End Muni Testing Exemptions. Hume, Lynn // Bond Buyer;10/26/2004, Vol. 350 Issue 31997, p7
The article reports that the U.S. Securities and Exchange Commission has approved a change to the Municipal Securities Rulemaking Board's Rule G-3 on professional qualifications that requires all registered municipal market participants to be tested periodically on the regulatory portion of the...
- 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.
- 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.
- 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...