Lawyers: Does Weiss Ruling Counter SEC Policy?
- SEC Shifts Fraud Focus. Hume, Lynn // Bond Buyer;7/14/2004, Vol. 349 Issue 31925, p1
Reports on the U.S. Securities and Exchange Commission's (SEC) filing of securities fraud charges against bond lawyer, Ira Weiss. Background of the case involving former investment banker L. Andrew Shupe II's sale of the Neshannock Township, Pennsylvania School District; Weiss' opinion that the...
- SEC: It's Lawyers' Duty to Dig. Hume, Lynn // Bond Buyer;6/30/2006, Vol. 356 Issue 32414, p1
The article provides updates on Ira Weiss' appeal of its ruling about a Pennsylvania school district's note issue. According to reports, Weiss complained on the decision of the Securities and Exchange Commission (SEC) to impose a separate duty on bond counsel to conduct an independent...
- Citigroup Settles Bond Dispute with SEC. // American Banker;6/17/2008, Vol. 173 Issue 116, p2
The article discusses the settled bond dispute between financial firm Citigroup Inc. and the U.S. Securities and Exchange Commission. The dispute extended from an investigation into Citigroup's work on accounting of Argentinian bonds in 2001 and 2002. Citigroup agreed to discontinue any possible...
- 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.
- SEC Probes Troubled Calif. City. Saskal, Rich // Bond Buyer;9/20/2010, Vol. 373 Issue 33385, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) will conduct an investigation on the bonds issued by Victorville, California because of its debt issue and financial problems.
- SEC to flush more public deals. Jovin, Ellen // Treasury & Risk Management;Jan/Feb98, Vol. 8 Issue 1, p15
States that the Securities and Exchange Commission (SEC) plans to encourage more bond issuers to the public market and away from the private 144a market. Benefits of companies filing under Rule 144a to sell their securities; Value of publicly issued for December 1997; When the SEC will issue a...
- IRS Seen Cracking Down on Arbitrage Rules. Kinnander, Ola // Bond Buyer;09/19/2000, Vol. 333 Issue 30978, p5
Reports on the United States Internal Revenue Service's crack down on arbitrage rules on bond issues. Private letter ruling issued by the agency; Penalty-in-lieu-of-rebate payment; Arbitrage computations.