Report shows that no group has escaped SEC enforcement
- SEC issues final annual disclosure rules for municipal securities. // hfm (Healthcare Financial Management);Jan95, Vol. 49 Issue 1, p5
Reports on the issuance by the United States Securities and Exchange Commission of final rules on secondary market disclosure for municipal securities. Amendment of the Securities Exchange Act; Requirement of financial information and operational data; Affected parties.
- SEC calls for comments on G-37 guidance. Hume, Lynn Stevens // Bond Buyer;09/23/97, Vol. 321 Issue 30236, p5
Reports on the US Securities and Exchange Commission's (SEC) call for public comments on clarifications to Rule G-37 issued by the Municipal Securities Rulemaking Board in September 1997. Contribution of bond dealers to political candidates' inaugural expenses or to pay off campaign debt;...
- New disclosure rules boost some bonds. Pallarito, Karen // Modern Healthcare;4/08/96, Vol. 26 Issue 15, p48
Reports on the Securities and Exchange Commission rules that took effect on March 1996 requiring municipal bond issuers to disclose all so-called material events that might affect a bond rating to a nationally recognized municipal securities information repository (NRMSIR). Features of the...
- G-14 changes would increase reports. Hume, Lynn // Bond Buyer;11/4/99, Vol. 330 Issue 30762, p32
Reports on the United States Securities and Exchange Commission's plan to seek public comment on proposed changes to the Municipal Securities Rulemaking Board's Rule G-14.
- As rule 144A offerings multiply, SEC considers fine-tuning system. Wirth, Greg; Tibbitts, Lisa // Investment Dealers' Digest;10/06/97, Vol. 63 Issue 40, p13
Reports that the US Securities and Exchange Commission (SEC) is set to release proposals designed to correct some of the market anomalies that have developed because of its Rule 144A. Suggested changes to the entire process by which companies issue securities; Extent of use of 144A in the...
- Firms Agree to Landmark Yield-Burning Pact. Hume, Lynn // Bond Buyer;04/07/2000, Vol. 332 Issue 30866, p1
Reports that several securities dealer companies have settled their yield-burning cases with the United States Securities and Exchange Commission as of April 7, 2000. Case background; Names of companies involved in the case; Terms of the settlement deal.
- SEC says yield-burning probe is not new law. Stanton, Michael // Bond Buyer;11/10/98, Vol. 326 Issue 30518, p2
Reports on the United States Securities and Exchange Commission's probe into the practice of yield burning as an effort to prosecute `traditional fraudulent activities'. Examination of dealers' activities in the sale of Treasury securities to municipal issuers; Occurrence of yield burning.
- New games, new rules. Hass, Nancy // Newsweek;3/14/1994, Vol. 123 Issue 11, p43
Claims the securities industry has failed to police itself adequately and regulators are ready to take on Wall Street again. New abuses; What Securities and Exchange Commission (SEC) chief Arthur Levitt wants to do; Why the brewing furor at the mutual funds has alarmed regulators; The SEC's...
- SEC Official: Issuers Must Not Mislead. Hume, Lynn // Bond Buyer;12/5/2001, Vol. 338 Issue 31278, p1
Reports on attorney in the U.S. Securities and Exchange Commission's Office of Municipal Securities Stephen Weinstein's remarks on norms of financial disclosures by municipal bond issuers in National Association of Bond Lawyers' Bond Attorneys' Workshop. Significance of remarks; Reference to a...