SMMP Proposal Approved by SEC Despite Concerns of Big Investors
- Donaldson: SEC's Priority is Reforming Mutual Fund Industry. Hume, Lynn // Bond Buyer;11/19/2003, Vol. 346 Issue 31765, p6
Focuses on the mutual fund regulatory initiatives outlined by Washington Securities and Exchange Commission chairman William H. Donaldson. Aim to fix the problems in the mutual fund industry; Description of risk management program; Anticipation of problems in all of financial market.
- SEC Fines Two Brokers Involved With Bentley. Roberts, Ed // Credit Union Journal;3/3/2003, Vol. 7 Issue 9, p14
Reports on the imposition of penalties to the brokers for Bentley Financial Services and Philadelphia CD by the Securities and Exchange Commission in Washington. Payment of restitution to investors; Suspension from the securities business for six months.
- MBA OPPOSES EFFORT TO END EXEMPTION. // National Mortgage News;5/20/2002, Vol. 26 Issue 34, p3
Reports on the opposition of the Mortgage Bankers Association on the Securities and Exchange Commission (SEC) disclosure legislation in Washington. Termination on the exemption of Fannie Mae Corp. and Freddie Mac company from SEC registration and disclosure requirements; Statement regarding...
- SEC Takes Action on MSRB Rule Changes, Seeks Comment on Price Reporting. Hume, Lynn // Bond Buyer;10/16/2002, Vol. 342 Issue 31492, p29
Reports the approval on the rule amendments of the Municipal Securities Rulemaking Board (MSRB) by the Securities and Exchange Commission in Washington. Proposition of MSRB change to Rule G-14; Supervision of municipal fund securities activities by firm principals; Requirements for the...
- SEC Approves NYSE Overhaul, Pushes Better Fund Disclosure. Hume, Lynn // Bond Buyer;12/18/2003, Vol. 346 Issue 31784, p1
Reports the approval of Washington Securities and Exchange Commission (SEC) on proposals to improve mutual fund disclosures of breaking point discounts and transaction cost. Approval on the new governance structure for the New York Stock Exchange; Purpose of the proposal; Basis of the SEC decision.
- SEC Seeks Rule Changes To Boost Safety of MMFs. ACKERMAN, ANDREW // Bond Buyer;7/9/2009, Vol. 369 Issue 33146, p1
The article reports on the publication of the changes made by the Securities and Exchange Commission (SEC) on the money market fund (MMF) in Washington. On July 8, 2009, the agency published the changes on MMF rule to make MMF less susceptible to market turmoil and runs by investors. In this...
- Growing New York County doubles its debt load with new GO issue. Roy, Elizabeth // Bond Buyer;08/14/97, Vol. 321 Issue 30209, p1
Reports on Orange County, New York's plan to issue $60 million in bonds in August 1997. Concerns about population growth; Population figures from the 1970s to the 1990s; Graph comparing the results of bond issuance from 1991-1996.
- High-yield scarcity helps sale of a nonrated sewer refunding in Alabama. Albano, Christine // Bond Buyer;08/14/97, Vol. 321 Issue 30209, p7
Reports on the growing popularity of high-yielding municipal bonds among investors. Bonds issue by Parish, Alabama in August 1997; Sale of New Orleans general obligation bonds; Prices.
- The Bond Buyer new-issue calendar. // Bond Buyer;08/14/97, Vol. 321 Issue 30209, p8
Presents a listing of municipal bond and note offerings announced in August 1997. Competitive bond offerings; Competitive note offerings; Negotiated bonds; Issuer; Description; Amount; Financial adviser; Maturing.