TITLE

SEC Eyes Rating Trip Payments

AUTHOR(S)
Hume, Lynn
PUB. DATE
February 2006
SOURCE
Bond Buyer;2/8/2006, Vol. 355 Issue 32315, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the initiative of the U.S. Securities and Exchange Commission in examining the municipal securities dealers. The move is intended to identify if the dealers violated the Municipal Securities Rulemaking Board's rules. Through overpaying excessive expenses for municipal officials to meet with the rating agencies, a dealer violates the rule. The agency also examines the brokers for unfair trading and excessive markups.
ACCESSION #
19751318

 

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