Only show
results from:

Sort results by:

Display preferences
2,774 results sorted by relevancy Results per page:
G-37 documents filed with MSRB reveal which dealers are employing consultants.(Municipal Securities Rulemaking Board, bond dealers and brokers, campaign contribution rule G-37)(Illustration)
The Bond Buyer; Aug 28, 1995; 700+ Words ...obtain or retain municipal securities business...to file with the Municipal Securities Rulemaking...obtain or retain municipal securities business...report employing consultants are not listed...Capital Group, Inc., New York City...and Company as a consultant and paying a ...
FINRA Fines J. P. Morgan Securities $500,000 for Failing to Disclose Use of Payments to Consultants to Obtain Numerous Municipal Securities Offerings.
Business Wire; Dec 13, 2007; 700+ Words ...WASHINGTON -- The Financial Industry Regulatory...Securities, Inc. $500,000...disclose to the Municipal Securities Rulemaking...payments to consultants for specific municipal business undermined...retained by a consultant. The rule also...payments made to consultants connected ...
Municipal Penalties Become Rare.
Multichannel News; Nov 30, 1998; ; 700+ Words Municipal authorities rarely resort to financial penalties anymore...regulators and consultants said that even...moonlights as a municipal consultant. Of late...Communications Inc., which put...A form of financial insurance...
Municipal Resources Inc.(BUSINESS SERVICES)
New Hampshire Business Review; Apr 27, 2007; 297 Words Concord resident Sheri Rockburn, a former comptroller and director of accounting for the state of New Hampshire, has joined Municipal Resources Inc. of Meredith as a senior financial consultant.
Consultant shifts savings from munis to corporates.(Ron Kaufman, municipal to corporate bonds as investments)
The Bond Buyer; Nov 7, 1995; ; 700+ Words ...given up on the municipal market. Up until...old communications consultant in Los Angeles...the prerefunded municipal bonds he bought...and Tyco Toys Inc. "I look for companies...Waterhouse Securities Inc. In addition to...subscribes to a myriad of financial newsletters and...
Clapp joins MBIA's board, Taylor joins FSA's. (David C. Clapp of Municipal Bond Investors Assurance Corp., Roger K. Taylor of Financial Security Assurance Inc.)
The Bond Buyer; Feb 15, 1995; ; 700+ Words Municipal Bond Investors...Corp. and Financial Security Assurance...head of the municipal bond department...served as a consultant to the Departments...assetbacked and municipal transactions...its municipal financial guaranty department...
Consultants on the Rise: Contribution Disclosure Doesn't Deter us.
The Bond Buyer; Sep 11, 2000; ; 700+ Words ...to obtain municipal securities...by Thomson Financial Securities...with the Municipal Securities...increased use of consultants reflects...could hire a consultant for half...disclosed any consultants that made...PaineWebber Inc. was the...disclose a consultant with ...
Sealed Bids Invited.(municipal bond marketing)(Statistical Data Included)
The Bond Buyer; Aug 13, 1999; ; 700+ Words ...payable to the District Treasurer. Financial Adviser: Municipal Financial Consultants Inc, Grosse Pointe Farms. Advertisement...District Treasurer. Financial Adviser: Municipal Financial Consultants Inc., Grosse Pointe Farms. Advertisement...
Two More Firms Back MSRB's Proposed Ban on Consultants.
The Bond Buyer; May 18, 2004; ; 700+ Words ...permits such use of consultants, are a "cancer...municipal securities consultant told the board...reported using any municipal securities consultants, sent the board...Michael Capital Inc. reported spending...and helped secure municipal bond business for...firm served as ...
Regulation Citigroup, Goldman Urge MSRB to Ban Consultant Finder's Fees.
The Bond Buyer; Jun 14, 2004; ; 700+ Words ...board to restrict municipal securities consultants...solicitation of municipal securities business...holding companies, financial advisers, and...officials by spouses of municipal finance professionals...amp; Sons, Inc., and William...undue pressure on consultants and create, ...
MSRB Muni Consultant Ban Proposed: Market Integrity Key for Board.
The Bond Buyer; Apr 6, 2004; ; 700+ Words ...contributions that consultants gave to issuer...quarterly forms on consultants. MSRB officials...of independent consultants. They said they...concerns about consultant practices yesterday...integrity of the municipal securities market...department at UBS Financial Services ...
Muni Consultants Stepping Up Contributions to Issuer Officials.
The Bond Buyer; Sep 30, 2003; ; 700+ Words ...names of the consultants they hire to retain or obtain municipal securities business...parties by the consultant and any partner...issuer to obtain municipal business for...Dain Rauscher Inc. reported the...contributions made by consultants -- $84,615...retain or obtain ...
MSRB: Ban Consultants For Dealers: Board Will Make Request to SEC.
The Bond Buyer; Mar 16, 2005; ; 700+ Words ...However, a ban on consultants could affect competition...advantage the top Wall Street municipal bond firms - Citigroup Global Markets Inc. and UBS Financial Services Inc. - that have huge municipal securities markets operations...
J.P. Morgan Backs Ban on Consultants: MSRB Proposal Draws Comments.
The Bond Buyer; Apr 30, 2004; ; 700+ Words ...uses a lot of consultants, it contractually...independent consultant ban. Of the...director and municipal product manager...problems in municipal finance are...lawyers and financial advisers...concerns that some consultant practices challenge...integrity of the municipal ...
Most Oppose MSRB's Plan On Hired Help: 15 Against Proposal On Consultant Use.
The Bond Buyer; Jun 8, 2004; ; 700+ Words ...information about such consultants, and replacing...amp; Sons, Inc., and William...from paying their consultants success, finder...are tied to the consultant's finding business...Smith, Pollan Inc. - urged the board...practices to other municipal market participants...and independent ...
Capital Watch: Regulation: MSRB Files Consultant Ban Plan With SEC.
The Bond Buyer; Mar 18, 2005; ; 656 Words ...using independent consultants to solicit municipal securities business...information about their municipal securities consultants...competition in the municipal market by giving...Citigroup Global Group Inc. and UBS Financial Services Inc. The...
Report: City must act to cut deficit: Raising property taxes and trying to attract higherincome residents are among the suggestions a consultant makes to keep a $7 million budget deficit from growing much larger.
Reading Eagle (Reading, PA); Mar 21, 2006; 700+ Words ...to stave off municipal bankruptcy, consultants told City Council...Management Partners Inc., Cincinnati...team of eight consultants working with...the five-year financial forecast and...s long-term financial health," the...
JOSEPH A. HARCUM NAMED CHAIRMAN, CEO OF FLEET SECURITIES, INC.
PR Newswire; Oct 5, 1995; 700+ Words ...Top Five Municipal Debt Underwriters...Securities, Inc., the municipal securities...of Fleet Financial Group (NYSE...securities consultant, managed...providing financial advisory...partner of the Municipal Department...Brothers, Inc., New York...
New England. (Joseph A. Harcum named chairman of Fleet Securities Inc.)(Brief Article)
American Banker; Oct 23, 1995; ; 537 Words Fleet Financial Group Inc., said Joseph A. Harcum has...officer of Fleet Securities Inc., its municipal securities subsidiary. Mr. Harcum, most recently a municipal securities consultant, managed the public finance...
Sun Banks Inc. establishes the Florida Public Finance Group to serve the financial needs of state and county agencies.
PR Newswire; Dec 8, 1986; 645 Words ...SunTrust Securities, Inc. The group is headed...of Fischer Johnson, Inc. of St. Petersburg...Johnson are both Chartered Municipal Financial Consultants. Cook is a registered...Rybicki of Sun Banks, Inc., 305-237-4061...
2,774 results: 1 | 2 | 3 | 4 | 5 | Next >>

Find articles, research, and archives