Nevada County, Calif., others weigh costs of fighting SEC
- SEC to Weigh Changes to Muni Disclosure Rule. Ackerman, Andrew // Investment Dealers' Digest;7/10/2009, Vol. 75 Issue 26, p14
The article reports on the consideration of the Securities and Exchange Commission (SEC) to propose additional amendments to its Rule 15c2-12 on municipal bond disclosure in the U.S. It notes that the five-member commission has planned to conceive whether to provide interpretive guidance...
- 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.
- TEXAS: Obeying the SEC. Albanese, Elizabeth // Bond Buyer;1/22/2002, Vol. 339 Issue 31308, p37
Reports on the plans of two former Arlington City Council members to close their investment management business as a result of securities fraud lawsuit by the U.S. Securities and Exchange Commission. Allegations against companies involved in the fraud.
- Dates set for SEC trials in cases over '93, '94 deals in Orange County. Hume, Lynn // Bond Buyer;01/26/99, Vol. 327 Issue 30565, p25
Focuses on United States Securities and Exchange Commission's (SEC) disclosure-related enforcement case against five issuers in Orange County, California. Small cities and school districts' determination to fight SEC charges; Violation of securities fraud laws through negligence.
- SEC charges 3 issuers, others over land-backed deals. Marois, Michael B.; Hume, Lynn Stevens // Bond Buyer;02/04/98, Vol. 323 Issue 30324, p1
Reports on the US Securities & Exchange Commission's (SEC) securities fraud charges against three small central California issuers of land-backed bonds. SEC action against a financial adviser and real estate appraiser for defrauding investors who bought Mello-Roos and Marks-Roos bonds issued...
- Financial shell game in Florida County sparks SEC charges. Reynolds, Katherine M. // Bond Buyer;09/30/97, Vol. 321 Issue 30241, p6
Reports on the securities dealers in Escambia County, Florida charged with fraud by the US Securities & Exchange Commission (SEC). Excess markups made by the charged dealers; Start of public administrative proceedings against the dealers.