SEC Official: Issuers Must Not Mislead
- Pope: SEC's Miami Case Shows Issuers Can't Hide Behind Auditors, Advisers. Hume, Lynn // Bond Buyer;12/5/2001, Vol. 338 Issue 31278, p4
Reports on the remarks of partner at U.S.-based Hunton & Williams Dean Pope market professionals' role in protecting municipal bond issuers from inadequate financial disclosures. Reference to the U.S. Securities and Exchange Commission's enforcement case against Miami; Charges of the commission...
- 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 proposes rule requiring financial disclosures for municipal securities issuers. // hfm (Healthcare Financial Management);May94, Vol. 48 Issue 5, p5
Reports on the Securities and Exchange Commission's publication of a statement interpreting disclosure obligations of municipal securities issuers. Disclosure requirements; Proposal for rule amendments that prohibit a broker, dealer or municipal securities dealer from underwriting a municipal...
- 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.
- E-Disclosure Problems May Be Confined to Small Issuers. Carpenter-Kasprzak, Sheri // Bond Buyer;12/07/2000, Vol. 334 Issue 31032, p7
Reports on the electronic disclosure compliance problems being tracked by the United States Securities and Exchange Commission. Problems with small, one-time bond issuers; Absence of access to e-mail or the Internet.
- SEC Exposes Deficiencies In Disclosure. Hume, Lynn // Bond Buyer;3/15/2002, Vol. 339 Issue 31345, p1
Reports on the study related to deficiencies in disclosure by the U.S. Securities and Exchange Commission. Noncompliance of secondary-market disclosure obligation by several municipal issuers; Inconsistence of the availability of disclosure documents among repositories; Proposal of improving...