U.S. Securities and Exchange Commission & Auction-Rate Securities Newsletter
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Apollo’s Race Toward Private-Credit ETFs to Face SEC Scrutiny
01 Nov 2024 14:55 GMT
… Read from Bloomberg The Securities and Exchange Commission is set to review … Inc. and BondBloxx. The SEC, Apollo, State Street and … the implosion of the auction-rate securities market during the 2008 … assets, according to the SEC filing. The money manager …
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Reuters - Bank of America pays $37m to resolve auction-rate securities lawsuit
07 Jun 2017 10:16 GMT
… it millions of dollars of auction-rate securities it knew were on the … filing with the U.S. Securities and Exchange Commission on Tuesday, resolves a lawsuit …
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BNY Mellon pays $6.6 million to resolve SEC charges
14 Jan 2017 14:59 GMT
… to resolve charges from the Securities and Exchange Commission (SEC) on Thursday. The civil … from its calculations. An SEC investigation found that the miscalculation … SEC investigated BNY Mellon over potential breaches of procedure in auction-rate securities …
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New York Gov. Andrew Cuomo Reaped $6.2 Million In Campaign Cash From 347 State Vendors Who Pocketed $7 Billion Since 2014
28 Oct 2020 11:58 GMT
… the Securities and Exchange Commission, forced a $7.3 billion repurchase of allegedly fraudulent auction-rate securities …
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TCW to test AMR technology in first CLO auction
10 Jan 2020 21:05 GMT
… structure, which is modeled on auction-rate securities, was developed to allow CLOs … – and a letter from the Securities and Exchange Commission obtained – to ensure that using …
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Fired UBS Adviser Reignites Palm Beach Scandal Over Rich Widow
16 Aug 2017 10:53 GMT
… with the U.S. Securities and Exchange Commission and in federal court, … whistle-blower complaint with the SEC.
What’s more, Price … Price. He provided the SEC with Outlook calendars and … investors who had bought auction-rate securities from hundreds of the …
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LPC: CLO market experiments with built-in AMR repricing
07 Jul 2017 15:16 GMT
… .
AMR CLOs are modeled on auction-rate securities. Investors
submit interest rates that … structure.
A letter from the Securities and Exchange Commission in
response to Dechert and …
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BofA pays Tutor Perini $37 million to resolve fraud lawsuit
06 Jun 2017 22:03 GMT
… filing with the U.S. Securities and Exchange Commission on Tuesday, resolves a lawsuit … America pushed it to buy auction-rate securities in late 2007 and early … more than $61 billion of auction-rate securities to settle claims by Andrew …
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Republican Senator Hails Goldman Sachs As A Champion Of 'The Little Guy'
24 Mar 2017 02:15 GMT
… nominee to chair the Securities and Exchange Commission. Clayton is a top … any enforcement actions the SEC takes against companies that … in cases before the SEC. That creates a scenario … it had rigged the auction-rate securities market, cheated while managing …
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MONOLITHIC POWER : MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS (form 10-K)
01 Mar 2017 22:04 GMT
… million from the redemption of
auction-rate securities.
For the year ended December … 303(a)(4) of the Securities and Exchange Commission's Regulation S-K …