MSRB Submits Revised Notice for Section 529 Plans
- As Promised, Pitt Launches SEC-Wide Review. Hume, Lynn // Bond Buyer;3/21/2002, Vol. 339 Issue 31349, p30
Reports developments on bonds in the U.S. after March 2002. Launch of four month study of the commissions resources by the Securities and Exchange Commission; Approval of Municipal Securities Rulemaking Board on rule for fair dealing; Demotion of general obligation rating of Cranston by Fitch...
- 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.
- Options exchanges meet today on SEC linkage mandate. Hendrickson, Mark // Securities Industry News;10/25/99, Vol. 11 Issue 42, p4
Reports on the meeting of financial options exchanges in the United States to hash out details of an electronic link among the exchanges mandated by the US Securities & Exchange Commission (SEC). Issuance of an order calling on the options exchanges to act jointly; Identification of technology...
- Securities in registration: Equity. // Investment Dealers' Digest;06/15/98, Vol. 64 Issue 24, p38
Focuses on a listing of proposed offerings for companies which have been registered with the United States Securities and Exchange Commission (SEC). Names of the companies; Business conducted by the companies; Dates issues were filed with the SEC; Managers of the issues.
- The road to hell. Neuman, Ray // Corporate Detroit;Nov94, Vol. 12 Issue 11, p48
Comments on violations of the United States Securities and Exchange Commission's Rule 16 covering the buying and selling of company stocks. Examination of transactions; Requirements; Insider information.
- 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 Regs in Wake of AIMR Guidelines? // Traders Magazine;Feb2003, Vol. 16 Issue 207, p12
Analyzes the guidelines on stock trading proposed by the American Association for Investment Management and Research. Provisions of the guidelines on best execution; Reaction of the U.S. Securities and Exchange Commission to the guidelines. INSET: A Closer Look at Best Execution.
- 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.