Threat of Enforcement
- 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;...
- SEC to Give Issuers Cash From Case, 7 Years Later. Hume, Lynn // Bond Buyer;2/14/2003, Vol. 343 Issue 31573, p32
Reports that the U.S. Securities and Exchange Commission has proposed a plan for distributing several million dollars to three municipal bond issuers in New Jersey. Details of the proposal; Names of the municipal issuers that would receive part of the amount.
- SEC Long Targeted Conduits. Hemmerdinger, Jonathan // Bond Buyer;8/22/2012, Vol. 381 Issue 33769, p4
The article informs about the prolonged tiff amidst U.S. Securities and Exchange Commission (SEC) and U.S. Congress over regulations related to the borrowers of conduit bond, a type of municipal bond.
- Facing possible charges by SEC, California town refunds debt. Marois, Michael B. // Bond Buyer;10/03/97, Vol. 322 Issue 30244, p1
Discloses that Avenal, California, one of four central and northern communities threatened with possible civil action by the US Securities and Exchange Commission over a string of highly speculative bond deals, has restructured and called its troubled debt. Avenal Public Finance Agency's sale...
- SEC's long, storied history of enforcement action vs. issuers. Doty, Robert W. // Bond Buyer;02/01/99, Vol. 327 Issue 30569, p38
Opinion. Comments on the history of the US Securities and Exchange Commission's (SEC) enforcement actions implicating municipal securities issuers and officials. Actions against governmental issuers, developers and issuer and developer officials involved in land-based financings; SEC's lack of...
- SEC Questions Muni-Fund Valuations. Greene, Andrew // On Wall Street;Dec2000, Vol. 10 Issue 12, p20
Reports on the factors that influenced the United States Securities and Exchange Commission to examine how fund companies establish prices for high-yield municipal bonds. Effect of the market volatility on municipal bonds; Process for pricing municipal bonds.