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BNET Business Dictionary
- Municipal Bond
- in the United States, a security issued by states, local governments, and municipalities to pay for special projects such as highways
- Municipal Bond definition on BNET »
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- Heartland sinks with muni bonds; with hefty lawsuits, comeback's in doubt.
- It could be sink rather than swim for Heartland Advisors Inc. With lawsuits and the Securities and Exchange Commission investigating, the Milwaukee-based fund family could soon vanish like the value of the municipal bond funds that got it in t ...
- Research articles 2001-01-29
- SEC Targets Pittsburgh Attorney, Banker for Alleged Municipal Bond Fraud.
- By Joe Fahy, Pittsburgh Post-Gazette Knight Ridder/Tribune Business News By Joe Fahy, Pittsburgh Post-Gazette Knight Ridder/Tribune Business News
- Research articles 2004-04-23
Additional Resources
- Financier Conviction to Affect Municipal Bond Market.(Originated from Tulsa World, Okla.)
- May 12--The eight-count conviction of financier Robert M. Cochran is likely to have some repercussions, although recent regulatory changes have lessened the impact of the trial on the municipal bond market. Since at least 1993 -- one year after the two municipal bond deals that provoked...
- Research articles 1996-05-12
- Levitt-ating above politics: SEC chairman uses his political prowess to champion small individual investors. (Securities and Exchange Commission chairman Arthur Levitt)
- SEC chairman uses his political prowess to champion small individual investors Last fall, Securities and Exchange Commission Chairman Arthur Levitt was on the hot seat. Members of Congress lambasted his aggressive anti-fraud policies in municipal bondSEC chairman uses his political prowess to champion small individual ...
- Research articles 1996-05-27
- SEC Charges Two Former J.P. Morgan Securities Officers in Alabama Illegal Payments Scheme
- « Corp Fin Staff Release New Guidance on Shareholder Proposals related to Risk and Succession Planning | Main | Three Former Symbol Technologies Settle Accounting Fraud Charges » The SEC filed fraud charges against Charles E. LeCroy and Douglas W. MacFaddin, two former directors of J.P. Morgan Securities Inc. in connection with an unlawful...
- News items 2009-11-04
- SEC takes new tack in investigating fraud.(U.S. Securities and Exchange Commission; municipal bond fraud)
- The SEC has charged Maricopa County, AZ, with securities fraud, claiming the county failed to fully disclose the use of some 1993 bond proceeds for general fund deficit financing. It marks the first SEC local government enforcement action where no bankruptcy, default, or collapse is suspected. In a potential...
- Research articles 1996-10-07
- Appellate court upholds SEC political contribution rules.(Securities and Exchange Commission)
- A federal court has ruled in favor of the SEC rules regarding political contributions by bond dealers. The rules prohibit the underwriting of any tax exempt state or municipal bonds by dealers who have made political contributions to the state or local officials within a two-year period.A federal appeals court...
- Research articles 1995-08-21
- Stifel Agrees to Pay Penalty in Bond Case
- In the largest penalty ever levied by the Securities and Exchange Commission in a municipal bond case, Stifel, Nicolaus and Co. agreed Thursday to pay $1.4 million to settle charges it received improper payments from investment brokers. The Stifel case is part of the SEC's...
- Research articles 1995-08-04
- ABA model rule 7.6: The ABA pleases the SEC, but does not solve pay to play
- INTRODUCTION In the mid-1980s, Robert H. Baker, a municipal bond lawyer and partner at Jones, Day, Reavis & Pogue, received an invitation to attend a fundraiser in New York City for Jessee M. Unruh, the California State Treasurer. At the event, Mr. Baker ran into almost everyone he knew in...
- Research articles 2000-10-01
- NLC's Kelly calls for common sense in addressing securities issues.(Walter F. Kelly; National League of Cities' 1996 Congressional City Conference)(includes related suggestions from Securities and Exchange Commission Chairperson Arthur Levitt)(Column)
- Federal regulators, including Arthur Levitt of the SEC and US Treasury Sec Robert Rubin, met with municipal officials and discussed city concerns over possible municipal bond restrictions. Those participating in the meeting expressed a spirit of cooperation and information sharing.U.S. Treasury Secretary Robert Rubin said municipalities should be "vigilant"...
- Research articles 1996-03-18
- Feds Plan to Rein in Muni Bond Market.
- Byline: Matthew Mogul Federal regulators will crack down on the $2.3-trillion municipal bond market, a reaction to alleged abuses by bond dealers and local government officials. Cities and communities throughout the U.S. sell bonds to raise money for new roads, schools, sewage plants and...
- Research articles 2007-03-27
- SEC proposes new rules for city borrowing. (Securities and Exchange Commission)
- The Securities and Exchange Commission SEC proposed municipal bond rules which would impose radical changes and new burdens on cities' and towns' disclosure practices. The action came as SEC Chairman Arthur Levitt stepped up the pressure for Congress to legislate direct federal regulation of municipalities' borrowing...
- Research articles 1994-03-14
- SEC settles in bond fraud action
- The U.S. Securities and Exchange Commission instituted a cease- and-desist proceeding Friday against a California investment finder allegedly embroiled in the long-running Stifel, Nicolaus & Co. municipal bond fraud scandal.
- Research articles 1998-02-02
- SEC files suit against former Stifel, Nicolaus exec
- The Securities and Exchange Commission filed a lawsuit Thursday against a former Stifel, Nicolaus & Co. executive, charging fraud in two municipal bond deals.
- Research articles 1998-01-30
- Feds' Investigation Could Dominate '07
- The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year, several federal regulators and ma The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow,...
- Research articles 2007-02-01
- Claymore Jumps into Actively-Managed ETF Game
- Michael Johnston submits: Claymore Advisors, sponsor of 35 passively-managed ETFs, has filed for exemptive relief with the SEC to launch three actively-managed ETFs, the latest indication that these "hybrid" funds could fuel the next wave of the ETF industry boom. The three proposed funds are: Claymore/S&P Commodity Trends Strategy ETF:...
- External links 2009-06-17
- Are investors listening when politicians speak? Assessing the securities fraud liability of political officials who manage large civic works projects.
- I. INTRODUCTION Over the last twenty years, the municipal securities (1) market has evolved from being largely unknown and unregulated to being amongst the foremost regulatory priorities of the Securities and Exchange Commission ("SEC"). (2) Municipal bond investors today stand in contrast to the rather limited group that...
- Research articles 2002-01-01
- Fund CEOs Start Certifying Results
- One little-noticed consequence of the recently passed Sarbanes-Oxley Act is that mutual fund CEOs and chief financial officers must now certify all semiannual reports and financial statements to shareholders. The SEC announced the requirement on August 26 as part of its interpretation of the new law. While fund accounting...
- Research articles 2002-10-01
- Business news in brief
- IN THE REGION SEC order to cost Dolphin & Bradbury $1 million-plus The Securities and Exchange Commission has ordered municipal-bond dealer Dolphin & Bradbury Inc. to return $314,000 in "ill-gotten profits" and pay $400,000 in fines for its "reckless" failure to warn investors about risks to Dauphin County...
- Research articles 2006-07-15
- Federal Agency Freezes Milwaukee-Based Investment Management Fund's Assets.
- By Kathleen Gallagher, Milwaukee Journal Sentinel Knight Ridder/Tribune Business News Mar. 23--The Securities and Exchange Commission acknowledged Thursday it is conducting a formal enforcement investigation into the three troubled municipal bond funds managed by Heartland Advisors Inc. SEC officials also...
- Research articles 2001-03-23
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