SEC seeks comments on MSRB amendments
- SEC approves new G-37X form to ease some dealers' filing burdens. Hume, Lynn // Bond Buyer;02/11/99, Vol. 327 Issue 30577, p5
Reports on the permission given by the United States Securities & Exchange Commission (SEC) for amending the Municipal Securities Rulemaking Board's Rule G-37 exempting securities dealers from filing forms on political campaign fund contributions.
- Gramm accuses SEC of overstepping its authority. Hume, Lynn // Bond Buyer;02/03/2000, Vol. 331 Issue 30821, p4
Reports on United States Senator Phil Gramm's criticism of the United States Securities and Exchange Commission's (SEC) proposed rule to prevent federally registered investment advisers from making political contributions. Aim of preventing investment advisers from engaging in pay-to-play...
- SEC must close muni loopholes. // Crain's New York Business;7/29/96, Vol. 12 Issue 31, p8
Editorial. Urges the Securities and Exchange Commission to address the continuing scandal of awarding of municipal bond business. New York lawyers' proposal to ban bond lawyers from making campaign contributions to politicians they do business with; Need for the SEC to come up with more...
- Muni bond restrictions. Harrington, John // Crain's New York Business;4/11/94, Vol. 10 Issue 15, p34
Reports that the Securities and Exchange Commission approved tough limits on campaign money that Wall Street firms give to local government officials. SEC's rulings on municipal bond dealers.
- Feds face new pressure on corporate giving. Wheeler, Lydia // Hill;4/22/2015, Vol. 22 Issue 41, p14
The article reports on the campaign launched by a group of investors and state officials calling the U.S. Securities and Exchange Commission (SEC) to require publicly traded companies to disclose their campaign spending to shareholders.
- Nondealer FAs sign anti-pay-to-play pact. Hume, Lynn // Bond Buyer;03/02/99, Vol. 327 Issue 30589, p1
Reports on a voluntary agreement among independent financial advisory firms prohibiting them from making political contributions to government officials and political parties in the United States. Effort to ban pay-to-play practices in the municipal market; US Securities and Exchange Commission...
- Politicians want companies to reveal political contributions. // Fairfield County Business Journal;9/20/2004, Vol. 43 Issue 38, p9
Reports that Connecticut state and city investment officials have called on the U.S. Securities & Exchange Commission to require publicly traded companies to disclose to shareholders their political contributions. Information about corporations that can be obtained through their political...
- BOND DEALS. Dietz, David // IRE Journal;Jul/Aug2005, Vol. 28 Issue 4, p34
Focuses on an investigative report on the link between campaign funds and municipal bonds. Limitations of contributions by municipal finance professionals for each election under the 1994 rules enforced by the U.S. Securities and Exchange Commission; Uses of the Official Statement of a bond...
- Chicago Aldermen Want SEC Probe of Mayor's Campaign Contributions. Shields, Yvette // Bond Buyer;11/19/2014, Issue 34213, p1
Some Chicago aldermen want the SEC and city inspector general to investigate campaign contributions to Mayor Rahm Emanuel from executives at firms with city pension business.