SEC: Muni market price reporting sets good example
- SEC should focus on markup disclosure rather than enforcement, expert says. Hume, Lynn Stevens // Bond Buyer;10/30/98, Vol. 326 Issue 30511, p1
Reports on the need for the United States Securities and Exchange Commission's to require broker-dealers to disclose markups on municipal and other debt securities rather than bringing enforcement cases under a disputed securities law doctrine. Themes in the Bond Market Association's proposed...
- 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.
- SEC Seeks High-Yield Price Data. Fine, Jacob; Hume, Lynn // Bond Buyer;3/18/2004, Vol. 347 Issue 31844, p1
Reports on the demand of the U.S. Securities and Exchange Commission for extensive information from high-yield municipal bond funds relating to pricing practices. Details of relationships with pricing services; Basis for examining the liquidity and valuation concerns relevant to the funds;...
- Real-Time Pricing Pushed. Hume, Lynn // Bond Buyer;2/4/2004, Vol. 347 Issue 31814, p1
Focuses on the demand of U.S. Securities and Exchange Commission member Cynthia Glassman on municipal industry to move to real-time price transparency for all municipal bond issues. extension of real-time transparency for all municipal bonds; Advise to the Municipal Securities Rulemaking Board...
- Appeals Court Judges Uphold SEC Rule Similar to G-37. Casey, Jack // Bond Buyer;8/26/2015, Vol. 1 Issue 34367, p1
Three federal appeals court judges dismissed a challenge Tuesday to the Securities and Exchange Commission's pay-to-play rule for investment advisors that has similarities to the Municipal Securities Rulemaking Board's own pay-to-play rule for broker-dealers.
- MSRB Files Modified Post-Trade Data Proposal With SEC. Glazier, Kyle // Bond Buyer;3/23/2015, Vol. 1, p1
The Municipal Securities Rulemaking Board on Thursday requested approval from the Securities and Exchange Commission to expand the post-trade data displayed on EMMA.
- SEC lauds MSRB on progress, but pushes for more prices, real-time reporting. Hume, Lynn // Bond Buyer;12/20/99, Vol. 330 Issue 30791, p7
Reports on the call of the United States Securities and Exchange Commission for the Municipal Securities Rulemaking Board to further expand its price transparency program. Move toward real-time reporting of prices.
- SEC Enforcement Shifts Focus to Muni Issuers in 2013. GRUGAN, JOHN C.; STANLEY, TESIA N. // Bond Buyer;8/19/2013, Vol. 385 Issue 33964, p6
In the article, the authors discuss the issues regarding an increase in annual enforcement activity by the U.S. Securities and Exchange Commission in first half of 2013. They mention that the SEC in 2013 has focused only on small municipal bonds. According to the SEC's 2013 enforcement actions,...
- Expect a Lot of Enforcement in 2014, Experts Say. Glazier, Kyle // Investment Management Mandate Pipeline;1/2/2014, p6
The article discusses the expectations that await the Securities and Exchange Commission's (SEC) enforcement division in 2014 which include ensuring the accountability of municipal bond issuer officials and instilling the importance of disclosure policies and procedures to both issuers and...