SEC, NASD Probing Dealer Gifts and Gratuities Industry-Wide
- SEC Probing Muni Deals. Hume, Lynn // Bond Buyer;9/19/2003, Vol. 345 Issue 31723, p1
Reports on the investigations conducted by the Securities and Exchange Commission involving municipal securities in the U.S. Bond deals focused in the investigations; Civil and criminal charges filed against lawyers participating in the bond issuance; Disclosure of faulty documents by municipal...
- SEC Launches Home Care Therapy Investigation. // Eli's Home Care Week;2010, Vol. 19 Issue 25, p194
The article reports that the Securities and Exchange Commission has conducted home care therapy investigations in the U.S.
- SEC Launches Probe of Miami-Dade Health Care Deal. Sigo, Shelly // Bond Buyer;4/22/2010, Vol. 372 Issue 33304, p4
The article reports on the move of the U.S. Securities and Exchange Commission (SEC) to open an investigation on the 83.3 million dollars bond deal sold by Miami-Dade County, Florida in 2009 on behalf of the county's Public Health Trust (PHT).
- SEC to Start Muni Hearings Sept. 21: San Francisco Meeting to Be First of Five. Hume, Lynn // Bond Buyer;9/8/2010, Vol. 373 Issue 33379, p1
The article reports that the Securities and Exchange Commission (SEC) will start its hearing on municipal market in San Francisco, California on September 21, 2010. The hearing will examine Municipal Securities Rulemaking Board (MSRB), Build America Bonds (BAB), investor protection and...
- Cox:All ARS Dealers Scrutinized. Ackerman, Andrew; Fox, Lynne // Bond Buyer;8/20/2008, Vol. 365 Issue 32944, p1
The article reports on the investigation conducted by state and federal regulators to major banks and broker-dealers regarding their sales of auction-rate securities (ARS) to retail investors in the U.S. Securities and Exchange Commission (SEC) chairman Christopher Cox urged state regulators to...
- SEC Weighs Guvvie Settlement Advisory Group. Kite, Shane // Securities Industry News;11/11/2002, Vol. 14 Issue 43, p6
Reports on the plans of the U.S. Securities and Exchange Commission to creation of a federal advisory commission to explore ways to guard the nation's government securities clearing and settlement system against operational failures and other risks. Damage caused to electronic communication...
- Details Emerge on SEC Office of Market Intelligence. Carton, Bruce T. // Compliance Week;Mar2010, Vol. 7 Issue 74, p20
The article explains why the investigation of securities fraud in the U.S. failed. It claims that the Enforcement Division of Securities and Exchange Commission (SEC) has no system to let the agency collect, analyze and monitor the tips, complaints and referrals (TCRs). It offers information on...
- Municipal Mutual Fund Pricing Appears to Be in SEC Crosshairs. Hume, Lynn // Bond Buyer;11/5/2003, Vol. 346 Issue 31755, p1
Reports on the investigation of the municipal bond pricing among the mutual fund issues by the U.S. Securities and Exchange Commission. Result of the dramatic repricing of the net asset values of mutual funds; Violations of the securities laws; Assessment of the pricing methodology.
- 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...