As Promised, Pitt Launches SEC-Wide Review
- Democrats, GAO Blast SEC on Low Disgorgement Collections. Hume, Lynn // Bond Buyer;7/25/2002, Vol. 341 Issue 31435, p5
Reports the changes implemented by the U.S. Securities and Exchange Commission on its accounting program. Development of collection program; Options in dealing with increase workload of the enforcement staff; Improvements in the monitoring of disgorgement collections.
- Underwriters queried on political gifts. Cintron, Hiram // Caribbean Business;7/1/1993, Vol. 21 Issue 26, p10
Reports on the United States Securities and Exchange Commission's (SEC) letters to municipal bond underwriters asking for details concerning political contributions to government officials. Bonds issued by the government of Puerto Rico and its instrumentalities as highly prized; SEC's purpose;...
- SEC joins the Investigation Brigade for Bell, Calif. Saskal, Rich // Bond Buyer;10/19/2010, Vol. 374 Issue 33400, p4
The article reports that the Securities and Exchange Commission (SEC) joins the investigation regarding the bonds issue and financial policies issued by Bell, California.
- 3 Disclosure Strikeouts For Issuers? HEMMERDINGER, JONATHAN // Bond Buyer;10/22/2012, Vol. 382 Issue 33800, p1
The article informs that the U.S. Securities and Exchange Commission should adopt three-strike system for bond issuers to set the disclosure standards for them.
- SEC Probes Troubled Calif. City. Saskal, Rich // Bond Buyer;9/20/2010, Vol. 373 Issue 33385, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) will conduct an investigation on the bonds issued by Victorville, California because of its debt issue and financial problems.
- SEC to flush more public deals. Jovin, Ellen // Treasury & Risk Management;Jan/Feb98, Vol. 8 Issue 1, p15
States that the Securities and Exchange Commission (SEC) plans to encourage more bond issuers to the public market and away from the private 144a market. Benefits of companies filing under Rule 144a to sell their securities; Value of publicly issued for December 1997; When the SEC will issue a...
- IRS Seen Cracking Down on Arbitrage Rules. Kinnander, Ola // Bond Buyer;09/19/2000, Vol. 333 Issue 30978, p5
Reports on the United States Internal Revenue Service's crack down on arbitrage rules on bond issues. Private letter ruling issued by the agency; Penalty-in-lieu-of-rebate payment; Arbitrage computations.
- A POS that's compelling to readers? Marois, Michael B. // Bond Buyer;08/18/99, Vol. 329 Issue 30707, p1
Reports on the bond issue of the Mid-Peninsula Regional Open Space District Financing Authority in California. Acquisition of land to preserve open space; Use of the guidelines released by the United States Securities & Exchange Commission.
- SEC charges Miami, 2 ex-staffers with fraud. Whalen, Robert // Bond Buyer;09/27/99, Vol. 329 Issue 30734, p1A
Reports that the United States Securities and Exchange Commission has begun a civil enforcement action against Miami, Florida and two former city officials, alleging securities fraud. Cease and desist order issued; Violation of the antifraud provisions of the federal securities laws.