- The Year of Enforcement. Hume, Lynn // Bond Buyer;12/27/2004, Vol. 350 Issue 32037, p1
The article focuses on the U.S. Securities and Exchange Commission (SEC) which may take substantially more enforcement actions in the municipal bond market in 2004. There are more than 20 active investigations right now involving municipal market participants, according to Martha Mahan Haines,...
- 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.
- Investigations You Need to Read: Friday. Knutson, Ryan // Pro Publica;5/ 9/2010, p17
The article presents information on recent developments related to several investigations in the U.S. According to a report, increasing number of people in the military are being hospitalized for mental disorders as compared to injuries. The Securities and Exchange Commission is stated to be...
- SEC Could Halt Muni Bond Sales. Glazier, Kyle // Bond Buyer;9/19/2014, Vol. 1 Issue F336, p1
The Securities and Exchange Commission will probably use emergency court action to stop state and local governments from selling municipal bonds if it thinks their offerings are fraudulent, an enforcement division official told bond lawyers meeting here.
- Issuers Head to the MCDC Wire. Glazier, Kyle // Bondbuyer.com;11/18/2014, p28
The article reports on the predictions of municipal bond lawyer John McNally that bond issuers in the U.S. are weighing their decisions whether to self-report disclosure violations under the Municipalities Continuing Disclosure Cooperation (MCDC) initiative of Securities and Exchange Commission...
- GFOA Survey May Provide MCDC Information. Glazier, Kyle // Bond Buyer;3/17/2015, p1
The muni market may learn more about how issuers fared under the Securities and Exchange Commission's Municipalities Continuing Disclosure Cooperation initiative after they respond next month to a survey from the Government Finance Officers Association.
- 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...
- Commentary: SEC Uses Muscle to Push New Secondary Market Disclosure. Grugan, John; Stanley, Tesia // Bond Buyer;1/29/2014, Vol. 123 Issue 34051, p1
In this article, the authors reflect on legislative reform that the U.S. Securities & Exchange Commission (SEC) is seeking as of January 2014. They mention that the SEC was using combination of its antifraud authority and SEC Rule 15c2-12 in 2013 to raise the bar for secondary municipal market...
- SEC Issue New Muni Data. Hume, Lynn // Bond Buyer;7/1/2004, Vol. 349 Issue 31917, p1
Reports on the release of data related to municipal bond market by the U.S. Securities and Exchange Commission. Dominance of few dealers in trading in the market; Variation in the prices among dealers for the same securities; Amount of derivatives being issued.