News & Analysis as of

Securities and Exchange Commission (SEC) Bonds

Mayer Brown Free Writings + Perspectives

SEC Settles Reg BI Case Against California Broker-Dealer

On July 31, 2024, the Securities and Exchange Commission (“SEC”) announced that it agreed to settle allegations that a California-based broker-dealer sold in excess of $13 million in “L bonds,” a speculative, unrated debt...more

Fenwick & West LLP

Tokenized Real-World Assets: Pathways to SEC Registration

Fenwick & West LLP on

Demand for tokenized real-world assets (RWAs) is rapidly growing across the decentralized finance (DeFi) community, with growing interest among existing crypto-native participants and across the traditional finance industry...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: January 1, 2024

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

McNees Wallace & Nurick LLC

Bond Issue Fundamentals: A Guide to the Participants and the Process - Updated

A bond issue (a debt obligation of a local government) is often perceived as a mystery for many Pennsylvania local government officials and solicitors. The securities and tax regulations governing municipal bonds have grown...more

Orrick, Herrington & Sutcliffe LLP

Tender Offers Are Here To Stay – What Do I Need To Know?

Municipal tender offers have rapidly increased in volume since 2020, and 2023 is anticipated to be the highest volume year for voluntary municipal tender offers. As reported by the Bond Buyer, 2021 and 2022 each saw about $4...more

Goodwin

Debt Download - July 2023

Goodwin on

Welcome to Debt Download, Goodwin's monthly newsletter covering what you need to know in the leveraged finance market. Are the debt capital markets this summer as hot as the weather? Read on to find out!...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden’s 2023 Insights – Five Critical Areas for the Year Ahead

The pandemic’s impact may be subsiding, but businesses are encountering new challenges across the globe, including the potential for an economic retrenchment, rising interest rates, shifting regulatory and litigation...more

White & Case LLP

Legitimate coercion or unlawful abuse? Assénagon and the power to bind the minority in liability management exercises revisited

White & Case LLP on

Since the decision in Assénagon in 2012, there has been some doubt as to how much coercion can be applied in a consent solicitation that includes an "exit consent" and whether consents that seek to force detrimental economic...more

Bracewell LLP

“Fair Value” and “Fair Value to the Obligor”

Bracewell LLP on

The mortgage bond indenture (herein called a “Mortgage”) under which many electric and gas utility companies in the United States issue debt securities (herein generically called “bonds”) may be one of the most unloved...more

Goodwin

SEC Sues and Settles Claim Against Investment Adviser Representative For “Cherry-Picking Scheme” After Entry of Cease and Desist...

Goodwin on

​​​​​​​On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”) and its CEO Harry Buckman Jr. to settle...more

McNees Wallace & Nurick LLC

Municipal CFOs: Be Careful of Your Bond Disclosures; The SEC is Gunning for You

The Securities and Exchange Commission (SEC) recently charged two chief financial officers of school districts with misleading investors in municipal bond offerings. This should be a warning to municipal CFOs to be very...more

Robins Kaplan LLP

Fed Minutes Show Appetite for Big Rate Hikes, Fast Bond Selloffs

Robins Kaplan LLP on

The Fed’s March meeting notes dropped on Wednesday, and they detailed the central bank’s plans to “shrink their portfolio of bond holdings imminently” as well as the “many” fed officials auguring for significant rate hikes in...more

Faegre Drinker Biddle & Reath LLP

SEC Charges Texas School District and Former CFO with Fraud Related to Bond

On March 16, 2022, the Securities and Exchange Commission charged Crosby (Texas) Independent School District (Crosby) and its former Chief Financial Officer, Carla Merka, with misleading investors in a $20 million municipal...more

Goodwin

Is the SEC Still Considering Fixes to the Bond Markets?

Goodwin on

The SEC has made a concerted effort in recent years to look more closely at the fixed income markets. But under the new leadership of Chairman Gary Gensler, that spotlight seemed to have dimmed—or so some thought....more

Butler Snow LLP

Failure to Update Budget Projections in Bond Offering Prompts the SEC to Charge the School District and the CFO with Misleading...

Butler Snow LLP on

On September 16, 2021, the Securities and Exchange Commission (the “SEC”) charged Sweetwater Union High School District, a San Diego County School District (the “District”) and its former Chief Financial Officer (the “CFO”),...more

Dorsey & Whitney LLP

SEC Charges School District and the District’s Former Chief Financial Officer with Violations of Securities Laws in a 2018 Bond...

Dorsey & Whitney LLP on

On September 16, 2021, the Securities and Exchange Commission (“SEC”) entered an order against a school district (Sweetwater Union High School District (the “District”) in San Diego County, California) and charged the school...more

Robins Kaplan LLP

Financial Daily Dose 9.9.2021 | Top Story: SEC Threatens Action Against Coinbase Over Interest-Earning Product

Robins Kaplan LLP on

Coinbase, the “largest cryptocurrency exchange” in the U.S., revealed on Wednesday that SEC officials are threatening to sue it “over a proposed financial product that would let customers earn interest on digital asset...more

Robins Kaplan LLP

Financial Daily Dose 4.15.2021 | Top Story: Big Banks Deliver Huge Q1 Profits, Economic Optimism Despite Ongoing Challenges

Robins Kaplan LLP on

Big bank earnings season kicked off this week, and impressive Q1 results from JPMorgan, Goldman Sachs, and Wells Fargo has Wall Street feeling especially bullish. This, despite “sobering signs,” including climbing infections...more

SECIL Law

Deconstructing the SEC's Cryptocurrency-Suppression Program: Part One

SECIL Law on

This is the first article in a nine-part series that addresses the SEC’s unlawful suppression of new cryptocurrencies. Introduction - In 2017, the U.S. Securities and Exchange Commission (“SEC”) established an agency-wide...more

Butler Snow LLP

Ridding Trust Indentures of Pesky Bearer Bond Language

Butler Snow LLP on

The euphemistically-named Tax Equity and Fiscal Responsibility Act of 1982 (“TEFRA”), that became law on September 3, 1982, required that tax-exempt obligations be in registered form (as well as denying certain tax benefits...more

Robins Kaplan LLP

Financial Daily Dose 3.2.2021 | Top Story: U.S. Markets Bounce Back as Bonds Settle

Robins Kaplan LLP on

A quieter bond market was music to the markets’ ears on Monday, and they responded with their best day since last June...more

Robins Kaplan LLP

Financial Daily Dose 2.17.2021 | Top Story: NY AG Sues Amazon Over “Deficient” Covid-19 Response

Robins Kaplan LLP on

NY AG Letitia James is suing Amazon, accusing the online retail giant “of not doing enough to protect workers in the state from the coronavirus” and calling its response to the pandemic “deficient.” ...more

Robins Kaplan LLP

Financial Daily Dose 10.12.2020 | Top Story: Court Rules Apple Doesn’t Have to Offer Fortnite in App Store

Robins Kaplan LLP on

Big Friday win for Apple in its ongoing battle with Epic Games, as N.D. Cal. Federal Judge Yvonne Gonzalez Rogers ruled that Cook & Co. didn’t “need to reinstate the popular video game Fortnite in its App Store,” a blow to...more

Robins Kaplan LLP

Financial Daily Dose 9.25.2020 | Top Story: US Jobless Claims Rise As Recovery Stagnates

Robins Kaplan LLP on

New U.S. unemployment claims rose last week according to data released on Thursday, the latest sign that America’s recovery from the pandemic-induced recession is slowing—a “particularly worrisome” trend as cold-state...more

Allen Matkins

Where Do Scriptophilists Obtain Certificates?

Allen Matkins on

Scriptophily is the study and collection of stock and bond certificates.  These certificates may be of historical interest because they evidenced securities issued by well-known companies.  They also may be collected as works...more

113 Results
 / 
View per page
Page: of 5

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide