Piper Jaffray Triggers G-37 Ban
- MSRB Files Notice on G-37, G-38. Hume, Lynn // Bond Buyer;6/9/2005, Vol. 352 Issue 32150, p1
The article reports that the Municipal Securities Rulemaking Board (MSRB) yesterday filed with the Securities and Exchange Commission a proposed interpretative notice that clarifies and in some cases eases the definition of solicitation for broker-dealers trying to determine if they have run...
- Going for the Gold. Morgan, Tom // Business Journal (Central New York);5/18/2012, Vol. 26 Issue 20, p8
The article offers the author's insights related to financial issues in the U.S. including the Social Security disability payments, food stamps, and large contributions to politicians.
- Keeping Political Contributions Compliant. Giachetti, Thomas D. // Investment Advisor;Jan2011, Vol. 31 Issue 1, p71
The article discusses the Advisors Act Rule, which regards to political contributions by investment advisors. It states that political contribution is anything given by the advisor which influences the election of a candidate to perform a role for government entity. It mentions that an advisor,...
- MSRB Files Proposed MA Rule. HUME, LYNN // Bond Buyer;8/22/2011, Vol. 377 Issue 33569, p1
The article reports on the proposed Rule G-42 filed by the Municipal Securities Rulemaking Board with the Securities and Exchange Commission in the U.S. in 2011. It mentions that the proposed rule would keep municipal advisors from being engaged in pay-to-play practices which makes political...
- Who's kicking the soft money habit? Merrion, Paul // Crain's Chicago Business;06/23/97, Vol. 20 Issue 25, p3
Reports that Chicago companies are finding it hard to say no to making political donations. Decision of some large firms to stop contributions that are exempt from federal campaign limits; Refusal by some of the state's largest contributors to cut contributions.
- FINRA Fines Piper Jaffray $700,00 for Not Keeping E-Mails. HUME, LYNN // Bond Buyer;5/25/2010, Vol. 372 Issue 33322, p6
The article reports on the 700.000 U.S. dollars fine imposed by the Financial Industry Regulatory Authority to Piper Jaffray & Co. for not keeping electronic-mails (e-mails) over a six-year period.
- Democracy clearance sale. Anderson, Rocky // Enterprise/Salt Lake City;11/03/97, Vol. 27 Issue 19, p22
Considers that the democracy of the public land is forever destroyed because of the political contributions of a few huge oil, gas and coal companies. Example of how democracy is being destroyed by those who buy and sell legislation; Example of how a tobacco industry lobbyist influenced public...
- TRACKING POLITICAL CONTRIBUTIONS. Jones, Krista // Oklahoma Dental Association Journal;Nov2007, Vol. 99 Issue 3, p29
The author reflects on the significance of tracking political contributions to the Oklahoma Dental Association (ODA). She found out that ODA and its lobbying efforts should have an accurate account of who to support with political contributions. Tracking works for her since most political...
- FEC Should Investigate Chevron's $2.5 Million Super PAC Contribution. Parent, Jake // Public Citizen News;May/Jun2013, Vol. 33 Issue 3, p6
The article describes the law passed by the U.S. Congess that restricts the contractors of the government in playing a crucial role in political contributions and of demand of the journal regarding the investigation of breaching of this prohibitive law by a company Chevron Corp. by contributing...