Weiss Lawyers Send Appeals Court 'Statement of Issues'
- Budget Request Would Add Lawyer to SEC's Office of Municipal Securities. Casey, Jack // Bond Buyer;2/10/2016, Vol. 1 Issue 34458, p1
The Securities and Exchange Commission has plans to increase its examination and enforcement staff as President Obama announced in his budget on Tuesday that he wants to double the SEC's budget by fiscal year 2021, starting with a $200 million increase to $1.78 billion in 2017.
- 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;...
- SEC studying new oversight. // Pensions & Investments;9/5/1994, Vol. 22 Issue 18, p35
Presents the Securities and Exchange Commission's plans following a rash of derivative losses by bond mutual funds in 1994. Requirements on bond funds; Description of investment portfolio to shareholders; Amendment of a books and records rule; Legislative changes; Inspections limited to a...
- As Promised, Pitt Launches SEC-Wide Review. Hume, Lynn // Bond Buyer;3/21/2002, Vol. 339 Issue 31349, p30
Reports developments on bonds in the U.S. after March 2002. Launch of four month study of the commissions resources by the Securities and Exchange Commission; Approval of Municipal Securities Rulemaking Board on rule for fair dealing; Demotion of general obligation rating of Cranston by Fitch...
- Issuers could be next focus of SEC's disclosure efforts. Marois, Michael B. // Bond Buyer;08/01/97, Vol. 321 Issue 30200, p46
Discusses the development of the US Securities and Exchange Commission's investigations on questionable land-secured bond deals in California. Civil complaint filed by the commission on the First California Capital Markets Inc.; Alleged fraud committed by the company.
- Democrats, GAO Blast SEC on Low Disgorgement Collections. Hume, Lynn // Bond Buyer;7/25/2002, Vol. 341 Issue 31435, p5
Reports the changes implemented by the U.S. Securities and Exchange Commission on its accounting program. Development of collection program; Options in dealing with increase workload of the enforcement staff; Improvements in the monitoring of disgorgement collections.
- Underwriters queried on political gifts. Cintron, Hiram // Caribbean Business;7/1/1993, Vol. 21 Issue 26, p10
Reports on the United States Securities and Exchange Commission's (SEC) letters to municipal bond underwriters asking for details concerning political contributions to government officials. Bonds issued by the government of Puerto Rico and its instrumentalities as highly prized; SEC's purpose;...
- SEC joins the Investigation Brigade for Bell, Calif. Saskal, Rich // Bond Buyer;10/19/2010, Vol. 374 Issue 33400, p4
The article reports that the Securities and Exchange Commission (SEC) joins the investigation regarding the bonds issue and financial policies issued by Bell, California.
- 3 Disclosure Strikeouts For Issuers? HEMMERDINGER, JONATHAN // Bond Buyer;10/22/2012, Vol. 382 Issue 33800, p1
The article informs that the U.S. Securities and Exchange Commission should adopt three-strike system for bond issuers to set the disclosure standards for them.