- SEC Delays Slow the Flow. Tunick, Britt // Investment Dealers' Digest;2/25/2002, Vol. 68 Issue 8, p9
Reports the role of Securities and Exchange Commission on the deal flow in the U.S. Increase the length of time issuers spend; Effect of agency delays on the deal flow; Business conditions of the financial institution sector.
- Victorville Faces Suit Over Probe. JENSEN, RANDALL // Bond Buyer;9/19/2012, Vol. 381 Issue 33784, p1
The article reports that a bond underwriter has threatened to sue Victorville, California for the costs in dealing with probes by the U.S. Securities and Exchange Commission and the San Bernardino County grand jury into the California city's bond deals involving Kinsell, Newcomb & De Dios.
- 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...
- Oversight panel sought to end sewer debt crisis. // Underground Construction;Aug2009, Vol. 64 Issue 8, p5
The article reports on the Jefferson County, Alabama officials' call for the U.S. Securities and Exchange Commission (SEC) to help it escape bond deals to avoid bankruptcy for over a year. It points out that the deals untangled following the insurers' lost of top credit ratings. It notes that...
- Funds Freeze Broker Kickbacks. // Money Management Executive;11/24/2003, Vol. 11 Issue 46, p1
Talks about broker compensation deals among mutual funds. Complaint of the U.S. Securities & Exchange Commission and National Association of Securities Dealers against Morgan Stanley; Amount of money Morgan Stanley agreed to pay in fines and relinquish profits.
- Transfer Agents Investigated for Conflict of Interest. Kentouris, Chris // Securities Industry News;3/28/2005, Vol. 17 Issue 12, p8
Reports on the investigation on transfer agents being conducted by the U.S. Securities and Exchange Commission regarding conflict of interest. Information on the deals uncovered in April 2004; Requirements of the SEC rules to which transfer agents are subject; Firms that have been fined for...
- How M&A lawyers are keeping in step with new rules. // Mergers & Acquisitions: The Dealermaker's Journal;May/Jun99, Vol. 33 Issue 6, p20
Presents an interview with corporate legal advisers regarding mergers and acquisitions of companies in the United States. Proposal of the Securities and Exchange Commission (SEC) to allow open communication on deals; Determination of the extent of disclosing acquisition; Extension of the tender...
- SEC Filing Marks Definite Deal Between AIG, U.S. Government. Hemenway, Chad // National Underwriter / P&C;12/13/2010, Vol. 114 Issue 43, p8
The article discusses the deal between the American International Group Inc. (AIG) and the U.S. government, which was represented by the Federal Reserve Bank of New York (FRBNY) and the Securities and Exchange Commission (SEC). It states that the deal was to formally set an agreement on...
- MSRB: Fair Dealing For MAs. QUIGLEY, JOAN // Bond Buyer;8/25/2011, Vol. 377 Issue 33572, p1
The article offers information on the interpretative notice to Rule G-17 on fair dealing proposed by the Municipal Securities Rulemaking Board (MSRB) with the Securities and Exchange Commission (SEC). It states that the notice required municipal advisors to conclude that a transaction was...