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BusinessWeek
September 23, 2010
Levitt & Turner |
How to Clean Up the Muni Bond Market Solutions to defaulting bonds, unfunded liabilities, and fraudulent investment information.   |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
Finance & Development
September 2011
Rabah Arezki et al. |
Municipal Fallout U.S. state bond markets are not insulated from each other but are from the federal bond market. |
U.S. Banker
June 2011
Glen Fest |
OCC: Show Us the Munis Agency officials are concerned about the heavy concentration of municipal holdings in some major banks. |
Financial Advisor
February 2012
Marla Brill |
Muni Bond ETFs Join The Charge For Yields Despite some concerns, investors are being drawn to muni bond ETFs for diversification, transparency and low costs. |
The Motley Fool
December 12, 2006
Dan Caplinger |
Crime at the Bond Desk Players in the $2 trillion municipal bond market face investigations. This latest scandal provides a valuable reminder: As investors, you must always be aware of the potential for abuse. |
Financial Advisor
September 2012
Maureen Nevin Duffy |
2012: Seeking Yield More investors are piling into muni bonds, but certain cities face intractable economic difficulties. |
Financial Planning
February 1, 2007
Lynn Hume |
The Bond Buyer 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. |
BusinessWeek
December 17, 2009 |
Financial Fixes As the SEC ramps up enforcement, policymakers want to make it harder for con artists to pass off fraudulent documents... U.S. lawmakers in both the House and Senate are pushing for improved disclosure... etc. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
BusinessWeek
January 20, 2011
William Selway |
Muni Bonds: Default Fears May Be Overblown As investors flee, some analysts say predictions of widespread defaults, spurred by big state deficits and lost tax revenues, are lacking in evidence. |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
Financial Planning
June 1, 2012
Allan S. Roth |
Muni Forecast: Lots of Clouds Despite Whitney's prediction of a near-term disaster, it will probably take a decade or two to test whether states and municipalities can meet their obligations to both retirees and bondholders. The biggest single factor in the interim will be stock market returns. |
On Wall Street
May 1, 2013
Cumming & Horwitz |
SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Investment Advisor
January 2009
Kara P. Stapleton |
B/D Briefings News & Products News, products, and information of interest to broker/dealers. |
The Motley Fool
May 21, 2010
Jennifer Schonberger |
The Senate's Cop Cracks Down on Financial Fraud "Fraud and potential criminal conduct were at the heart of the financial crisis," Senator Ted Kaufman (D, Del) said in a speech last month on the Senate floor. |
Financial Advisor
January 2011
Alan Lavine |
Will Munis Deflate Again? The muni market has been volatile, with governments facing steep revenue declines and fears of higher interest rates. |
Financial Planning
June 1, 2008
Dakin Campbell |
UBS to Exit Muni Biz UBS confirms reports that it will exit or sell the institutional municipal securities group in an effort to focus on core client businesses after reporting first-quarter 2008 losses of $11 billion. |
Registered Rep.
March 3, 2009
Kristen French |
News Roundup: BofA/Merrill Layoffs; SEC Impostors; NYC Benefits Crumble; Madoff Clutches At Assets; AIG CEO Sues....AIG The ax began to fall at Bank of America/Merrill... etc. |
The Motley Fool
November 19, 2010
Dan Caplinger |
Has the Next Meltdown Begun? The municipal bond market is feeling the hurt. |
Investment Advisor
January 2009
Jeff Joseph |
More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
BusinessWeek
May 26, 2011
Selway & Braun |
Bachus Is Wall Street's Man in Jefferson County Representative Bachus backs a GOP push to delay reforms on the same derivatives that drove his county to the brink of bankruptcy. |
Financial Advisor
September 2010
Riva D. Atlas |
The Muni Minefield Why a diversified portfolio of municipal bonds may be a safe place to invest despite the harsh words against them. |
Financial Planning
July 1, 2006
Lynn Hume |
TBMA Launches Bond Indexes The Bond Market Association published the first of a weekly series of eight indexes covering different kinds of auction-rate securities. The indexes are designed to give issuers and investors benchmarks to evaluate the rates they are getting on securities sold through the auction process. |
The Motley Fool
July 21, 2011
Dan Caplinger |
What Ever Happened to the Muni Crash? Municipal bonds have recovered strongly, but is it just temporary? |
Investment Advisor
May 1, 2011
Melanie Waddell, AdvisorOne |
Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule |
The Motley Fool
September 19, 2007
Zoe Van Schyndel |
Muni Madness The first municipal bond ETFs are on the market. With low expense ratios, and tax-exempt interest, they represent an interesting way to invest in muni bonds. |
BusinessWeek
November 11, 2010
Michael McDonald |
A Wall Street Gimmick That Soaks Taxpayers Sold as a way for governments and nonprofits to lower costs on bonds, swaps contracts ended up hiking costs when interest rates plunged. |
The Motley Fool
September 13, 2007
Dan Caplinger |
Make a Mint With Munis With falling yields elsewhere, municipal bonds look more attractive. Traditionally difficult to buy, it is now a little easier to purchase them with a new ETF, the iShares S&P National Municipal Bond Fund. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Financial Advisor
June 2006
Alan Lavine |
Storm Clouds For Municipal Bonds Underfunded liabilities loom as a threat to governments' finances. |
Financial Advisor
July 2004
Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. |
Financial Planning
June 1, 2007
Lynn Hume |
The Bond Buyer The National Federation of Municipal Analysts and MuniNet have launched a new website that is designed to provide analysts and other market participants with access to municipal bond issuer websites, disclosure resources and other public finance-related information. |
Financial Planning
December 1, 2010
Sheila Amoroso |
The Truth About Munis With budget woes a daily news staple, state and local governments are taking steps to address the issues. Amid this uncertainty, it's important to understand some truths about investing in munis. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Financial Advisor
September 2005
Marla Brill |
The Case For Municipal Bonds Improving municipal bond yields could ease investor fear of rising interest rates. |
On Wall Street
October 1, 2010
Patrick McGee |
Goldman Sachs Taps Retail With Munis The storied Goldman Sachs has begun targeting the most mainstream investments for retail-buyers: municipal bonds. |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
BusinessWeek
February 3, 2011
Abelson & McDonald |
Whitney's Muni Forecast Is Short on Specifics While she still sees widespread muni bond defaults, Whitney won't offer specific numbers. |
InternetNews
July 8, 2009
Andy Patrizio |
Apple Faces SEC Probe on Jobs Health Disclosure The U.S. Securities and Exchange Commission is investigating Apple's handling of CEO Steve Jobs's health problems. |
Registered Rep.
December 11, 2008 |
SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
The Motley Fool
June 10, 2010
Rich Smith |
Buffett Predicts the Next Crisis It's coming soon to a town near you. Investors think munis are going down. |
BusinessWeek
September 2, 2010
Richard & Preston |
Wilbur Ross: Alone in Muni Bonds Wilbur Ross has something many business owners might envy: a monopoly in muni bond insurance. The question is, how much money can he make in a shrinking business? |
Investment Advisor
September 2009
Melanie Waddell |
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. |
Registered Rep.
May 15, 2009
Kristen French |
SEC Proposes Anti-Ponzi Rules. Do They Fall Short? Surprise exams and reviews by third party accountants: These are the new measures the SEC proposed to combat ponzi schemes like the one Bernie Madoff pulled off. |
The Motley Fool
May 20, 2008
Dan Caplinger |
The Financial Earthquake That Never Happened The recent Supreme Court decision will help keep the municipal bond market intact. |
