SEC, muni groups meet on disclosure aid
- SEC Gives Dealers 2 Week Window on MCDC Settlements. Glazier, Kyle // Bond Buyer;3/6/2015, Vol. 1, p34
The article discusses the enforcement of the Municipalities Continuing Disclosure Cooperation (MCDC) initiative of the U.S. Securities and Exchange Commission (SEC) according to SEC enforcement division's municipal securities and public pensions unit chief LeeAnn Gaunt. Topics covered include...
- SEC Urges Muni Issuers, Underwriters to Report Violations. Glazier, Kyle // Bond Buyer;3/12/2014, Vol. 123 Issue 34074, p1
The article focuses on the Municipalities Continuing Disclosure Cooperation Initiative by the U.S. Securities and Exchange Commission (SEC) to encourage issuers and underwriters of municipal securities to voluntarily report for violations of the federal securities laws as of March 2014. Topics...
- SEC Members Demand Muni Markup Disclosure After Edwards Jones Case. Casey, Jack // Bondbuyer.com;8/13/2015, p1
Securities and Exchange Commission members are calling for the adoption of rules requiring broker-dealers to disclose markups and markdowns on municipal securities, warning that if self-regulators do not act, the SEC will propose the rules itself.
- SEC seeks comments on proposals for FAs serving as remarketing agents. Hume, Lynn // Bond Buyer;02/25/99, Vol. 327 Issue 30586, p5
Discloses that the United States Securities and Exchange Commission is seeking public comments on proposed amendments to the Municipal Securities Rulemaking Board's Rule G-23. Amendment to allow financial advisers to serve as remarketing agents for variable-rate securities as long as they...
- Regulation FD changes rules of profit-surprise game. // Dow Theory Forecasts;1/29/2001, Vol. 57 Issue 5, p1
Reports the regulation on the market-moving information disclosure by the U.S. Securities and Exchange Commission. Impact of the Regulation Fair Disclosure (FD) on the stock price; Implication of the regulation for the explicit earnings guidance of companies; Usefulness of Regulation FD on...
- SEC to Clarify Disclosure Rules; Delay Likely. Hendrickson, Mark // Securities Industry News;02/26/2001, Vol. 13 Issue 9, p1
Reports plans of the Securities and Exchange Commission to issue an interpretative guidance on implementing quality disclosure rules in the United States. Need for public disclosure of order-routing practices of brokers; Concerns over internalization and market fragmentation; Rationale for the...
- Texas MAC Aiming to Start New Disclosure Post Office by July '04. Hume, Lynn // Bond Buyer;12/9/2003, Vol. 346 Issue 31777, p1
Reports that the Municipal Advisory Council of Texas has worked to develop an operation of the Muni Council's new central post disclosure facility. Regulatory processes mandated by the U.S. Securities and Exchange Commission; Discussion of disclosure issues; Features of the Muni Council.
- SEC Adopts Insider Trading Rule. Nielsen, Karol // Chemical Week;8/23/2000, Vol. 162 Issue 32, p8
Reports the approval of the United States Securities and Exchange Commission (SEC) to a rule that prohibits selective disclosure in which publicly traded companies provided information to analysts. Concerns received by SEC about the rule; Implication of the rules to companies.
- SEC Issues Disclosure Ruling. Hodges, J. // Internal Auditor;Dec2000, Vol. 57 Issue 6, p11
Focuses on the Regulation Fair Disclosure passed by the United States Securities and Exchange Commission on October 23, 2000. Provisions of the ruling; Why publishing significant amounts of company information on the Web raises issues about the accuracy of the material; Concern for...