MSRB Files Amendment to Rule G-39 on Telemarketing
- SEC Approves MSRB Rule Change on 529 Plan Advertising. Ferris, Craig T. // Bond Buyer;5/31/2005, Vol. 352 Issue 32143, p4
The article reports that the U.S. Securities and Exchange Commission has approved amendments to the Municipal Securities Rulemaking Board's Rule G-21 on advertising establishing specific requirements for dealers that market and advertise municipal fund securities in connection with so-called...
- SEC Asks Jefferson Co., Ala., About $4B of Swaps, Warrants. Hume, Lynn; Sigo, Shelly // Bond Buyer;9/24/2004, Vol. 349 Issue 31976, p1
Reports on the U.S. Securities and Exchange Commission's launch of an inquiry into the interest-rate swaps that Jefferson County, Alabama has entered into in connection with a comparable amount of sewer revenue warrants that the county sold. SEC examiners' request for copies of all documents...
- SEC Officials Go Overseas to Advise Poland on Muni Market. Hume, Lynn // Bond Buyer;10/08/99, Vol. 330 Issue 30743, p5
Reports that top officials of the United States Securities and Exchange Commission's Office of Municipal Securities will advise Poland on the development of the municipal finance market. Establishment of a municipal disclosure and regulatory regime.
- SEC rule will limit overnight offshore convertible sales. Garrity, Brian // Investment Dealers' Digest;04/06/98, Vol. 64 Issue 14, p9
Highlights the affect of the Securities Exchange Commission's (SEC) amendment to Regulation S of the Securities Act, effective April 25, 1998, on overnight offshore convertible sales. Reason amendment was made by SEC; Effect of amendment on underwriters.
- Justice, SEC Probe Muni Derivatives. Hume, Lynn; McConnell, Alison L. // Bond Buyer;11/21/2006, Vol. 358 Issue 32513, p1
The article reports on the conduct of an investigation into municipal derivatives by the U.S. Justice Department and the Securities and Exchange Commission. The probes cover brokers and providers, including insurance companies, securities firms, banks, derivatives firms, financial advisers, and...
- Local Auto Repair Firm Under SEC Scrutiny. // San Diego Business Journal;11/25/2002, Vol. 23 Issue 47, p25
Reports on the U.S. Securities and Exchange Commission's temporary restraining order against an alleged telemarketing scam that was seeking to raise money in stock shares for California Autocare Corp. based in California.
- Actively Managed ETFs? // Practical Accountant;Jan2002, Vol. 35 Issue 1, p18
No abstract available.
- Securities and Exchange Commission: Reviews of Accounting Matters Related to Public Filings: GAO-01-718. // GAO Reports;6/14/2001, p1
This report reviews the Securities and Exchange Commission's (SEC) resolution of accounting issues submitted by companies that have or are contemplating publicly traded securities. Companies are required by law to register their securities with SEC by filing a registration statement. This...
- Warning of Crisis, Democrats Urge Doubling SEC's Budget. Hume, Lynn // Bond Buyer;3/12/2002, Vol. 339 Issue 31342, p4
Reports the warning of the U.S. Securities and Exchange Commission on a 'severe funding crisis.' Calls for an increase in the budget for the commission; Need for improvement of enforcement, accounting and corporation finance staff in the commission; Impact of the collapse of Enron Corp.