SEC Muni Office to Look at The Disclosure Repositories
- SEC: A muni unit should have same policies as rest of firm. Hume, Lynn Stevens // Bond Buyer;05/12/98, Vol. 324 Issue 30391, p4
Focuses on several municipal bond enforcement cases handled by the US Securities and Exchange Commission. Focus on supervision and other customer protections required in a broker-dealer's municipal finance department; Cases settled; Compliance to the agency's secondary market disclosure rules.
- Lawyer: SEC Treats Munis Like Equities. Hume, Lynn // Bond Buyer;01/18/2000, Vol. 331 Issue 30809, p1
Reports on the United States Securities and Exchange Commission's plan to apply equities- and corporate-style standards to the municipal market retroactively through its enforcement program. Commission's application of regulation and due diligence standards to the unregulated municipal market;...
- WASHINGTON ALERT. // Bond Buyer;01/18/2000, Vol. 331 Issue 30809, p3A
Presents news briefs pertaining to government regulations affecting the securities industry in the United States as of January 18, 2000. Securities and Exchange Commission's proposed guidance on the use of electronic media in the municipal and other securities market; Tax cut proposal by...
- Commentary: SEC Uses Muscle to Push New Secondary Market Disclosure. Grugan, John; Stanley, Tesia // Bond Buyer;1/29/2014, Vol. 123 Issue 34051, p1
In this article, the authors reflect on legislative reform that the U.S. Securities & Exchange Commission (SEC) is seeking as of January 2014. They mention that the SEC was using combination of its antifraud authority and SEC Rule 15c2-12 in 2013 to raise the bar for secondary municipal market...
- SEC Officials Explain MA Enforcement. Glazier, Kyle // Bond Buyer;1/23/2014, Vol. 123 Issue 34048, p1
The article informs that the U.S. Securities and Exchange Commission has confirmed that the commission will be responsible for all of the more than 1,100 registered municipal advisors on January 23, 2014. It mentions that these municipal advisors should be a member of the U.S. Financial Industry...
- Warning on Escrow Debt. Hume, Lynn // Bond Buyer;8/5/2002, Vol. 341 Issue 31442, p1
Reports the warning of the Securities and Exchange Commission to the municipal bond issuers in the U.S. Assessment of the enforcement actions; Issuance of information to the investors on the optional call rights; Assessment of the securities laws.
- SEC Approves MSRB Amendment to G-40. Ferris, Craig T. // Bond Buyer;8/13/2002, Vol. 341 Issue 31448, p4
Reports the approval of the G-40 rule of the Municipal Securities Rulemaking Board by the Securities and Exchange Commission in the U.S. Appointment of contact person by the municipal securities dealer; Management of the electronic-mail communications; Distinction of the contact personnel.
- MSRB Sends SEC Proposal to Increase Trade Data Reporting. Hume, Lynn // Bond Buyer;9/25/2002, Vol. 341 Issue 31478, p5
Reports the proposal of the Municipal Securities Rulemaking Board of the Securities and Exchange Commission to increase the number of municipal bond trades. Adaption on the concept of frequently traded; Presentation of daily transactions of bonds; Evaluation of the total par value transparency...
- MSRB Seeks Mandate to Shut Market. Hume, Lynn // Bond Buyer;12/12/2002, Vol. 342 Issue 31531, p1
Reports on the proposal submitted by the Municipal Securities Rulemaking Board (MSRB) to the U.S. Securities and Exchange Commission for allowing the shut down of municipal bond market in the event of catastrophe. Response of the officials of The Bond Market Association to the proposal;...