SEC allows more firms to confirm trades
- New SEC guidelines formalize disclosure rules for bond issuers. Pallarito, Karen // Modern Healthcare;11/21/94, Vol. 24 Issue 47, p24
Reports on the Securities and Exchange Commission (SEC) guidelines on disclosure rules for bond issuers. Complaints of bond buyers; Rules on compliance costs and underwriting; Healthcare Financial Management Association's (HFMA) issuance of `Statement No. 18' for disclosures after a bond sale.
- SEC suggests rules. // Hudson Valley Business Journal;6/13/94 - 6/20/94, Vol. 6 Issue 4, p6
Reports on the rules proposed by the Securities and Exchange Commission (SEC) to cut regulations for corporate bonds traded on stock-exchanges.
- It's about time the bond market started taking the SEC seriously. Ferris, Craig T. // Bond Buyer;09/29/97, Vol. 321 Issue 30240, p33
Opinion. Comments on the US Securities and Exchange Commission's well-publicized bond enforcement actions. Priority program of the agency; Resistance from participants in the municipal market; Evidence of the failure of the checks and balances of self-regulation.
- Bill could thwart SEC action over yield-burning abuses. Hume, Lynn Stevens // Bond Buyer;07/24/98, Vol. 325 Issue 30442, p1
Focuses on the implications of the proposed 1998 Regulatory Fair Warning Act on the United States Securities and Exchange Commission's actions over yield burning abuses. Representative George Gekas' sponsorship of the bill; Justice Department's opinion on the applicability of the bill.
- G-37-like rule unveiled. Hume, Lynn // Bond Buyer;08/05/99, Vol. 329 Issue 30698, p1
Reports that the United States Securities and Exchange Commission has proposed a G-37-like rule. Prohibition of federally regulated and nonregistered investment advisers from making political contributions; Resolution approved by the National Association of State Treasurers.
- SEC rule would allow broader fund investments. Hume, Lynn // Bond Buyer;09/28/99, Vol. 329 Issue 30735, p4
Reports on the proposed ruling of the United States Securities and Exchange Commission that would allow diversified tax-exempt municipal funds and investment companies to invest advanced-refunded bonds or repurchase agreements of a single issuer. Diversification requirements of the agency.
- Campos Mulls Laws For Raters. Hume, Lynn // Bond Buyer;3/7/2006, Vol. 355 Issue 32333, p1
The article focuses on the views of Securities and Exchange Commission (SEC) member Roel Campos, about the actions taken the credit rating agencies and SEC to established a voluntary oversight system for the rating agencies. Campos was disappointed on the delay of finalization of the regulation....
- SEC, IRS seek yield-burning cure exempting the innocent. Hume, Lynn Stevens // Bond Buyer;01/27/98, Vol. 323 Issue 30318, p1
Focuses on the partnership between the US Securities and Exchange Commission (SEC) and the US Internal Revenue Service to try to come up with a way to settle as many yield-burning cases as possible so that innocent bondholders and issuers are not harmed. Comment by William R. Baker, associate...
- SEC Adopts Disputed `Fair Disclosure' Rule for Issuers. Hume, Lynn // Bond Buyer;08/11/2000, Vol. 333 Issue 30952, p5
Reports on the United States Securities and Exchange Commission's adoption of a fair disclosure rule for issuers. Provisions of the rule.