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Credit Ratings and Credit Risk: Frequently ... - Morrison & Foerster LLP
Aug 25, 2011 . example, FINRA's April 2011 consent agreement with UBS (the “UBS . information about an issuer's credit quality, particularly if there is any .
http://www.mofo.com/files/Uploads/Images/110825-Structured-Thoughts.pdf

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AAA Definition | Investopedia
Ratings agencies such as Standard & Poor's and Fitch Ratings use the AAA nomenclature to indicate the highest credit quality, while Moody's uses Aaa.
http://www.investopedia.com/terms/a/aaa.asp

Any
 
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Finra cracks down on credit disclosure - InvestmentNews
Apr 11, 2010 . Fund executives think that Finra may be particularly sensitive about the misuse of bond credit-rating information because of the losses suffered .
http://www.investmentnews.com/article/20100411/REG/304119968

 
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Regulatory Notice 10-41 - FINRA
FINRA Reminds Firms of Their Sales Practice and Due. Diligence . FINRA Regulatory Notice 09-35. ? MSRB Rule . not rely solely on a security's credit rating.
http://www.finra.org/Industry/Regulation/Notices/2010/P122112

 
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Risk from A to D - FINRA - Investor Information - Smart Bond Investing
The credit quality of bonds is based primarily on the likelihood of possible default, resulting in investors losing their principal. Rating agencies sift through data .
http://apps.finra.org/investor_information/smart/bonds/204100.asp

 
 
 
 
 

Average Credit Quality in Bond Portfolios - SLCG Securities ...
Apr 15, 2010 . FINRA responded to our paper by telling the mutual fund industry to stop reporting average credit quality for their bond portfolios unless the .
http://www.slcg.com/pdf/workingpapers/Average%20Maturity%20in%20Bond%20Portfolios%20Paper.pdf

 
 

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Law Firm Of Pepper Hamilton LLP | New Proposed FINRA Rule ...
Mar 22, 2011 . FINRA is requesting comment on a new proposed rule that would . other demonstrable criteria) that the credit quality of the security is, in fact, .
http://www.pepperlaw.com/publications_update.aspx?articlekey=2052

 
 
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Many Alarms Rang Before MF Global Crashed - NYTimes.com
Nov 2, 2011 . Rumors spread that Moody's Investors Service was considering a cut to MF Global's credit rating. Finra resumed regular talks with the firm, .
http://dealbook.nytimes.com/2011/11/02/many-alarms-rang-before-mf-global-crashed-in-ruins/

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FINRA Fines Chase $1.7 Million and Orders Restitution to ...
Nov 16, 2011 . The Financial Industry Regulatory Authority (FINRA) has fined Chase . to companies whose credit quality is rated below investment-grade.
http://www.floridasecuritiesfraudlawyerblog.com/2011/11/finra-fines-chase-17-million-a.html

 
 

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FINRA Orders Chase to Reimburse Customers $1.9 Million for ...
Nov 15, 2011 . FINRA also fined Chase $1.7 million. . of secured senior loans made to entities whose credit quality is rated below investment-grade, or "junk.
http://www.finra.org/Newsroom/NewsReleases/2011/P125115

How Safe Is Your Bond Fund? - WSJ.com
Sep 25, 2010 . Average credit-quality ratings are based on the ratings of the . Some of Finra's concerns included inconsistencies in the way the firms .
http://online.wsj.com/article/SB10001424052748703399404575506164000062980.html


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Average Credit Quality
Average Credit Quality - Definition for Average Credit Quality from Morningstar - Average credit quality gives a snapshot of the portfolio's overall credit quality.
http://www.morningstar.com/InvGlossary/average_credit_quality.aspx

Laura Murphy, CRCP | LinkedIn
-Managed materials for FINRA Information requests dealing with Average Credit Quality, Credit Quality Breakdown, and Absolute Return Funds -Approved .
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FINRA Investor Alert - NataliePace.com™ - A Global Investment ...
Jul 3, 2012 . FINRA and the Municipal Securities Rulemaking Board (MSRB) are . A high credit rating is not a seal of approval and neither reflects nor .
http://www.nataliepace.com/np.php?fxn=article&id=20120703

The credit rating agencies: Power, responsibility and accountability
Jul 19, 2012 . Robert D. Piliero of Butzel Long discusses the role credit rating agencies . FINRA findings and costs no basis for SEC appellate jurisdiction .
http://newsandinsight.thomsonreuters.com/Securities/Insight/2012/07_-_July/The_credit_rating_agencies__Power,_responsibility_and_accountability/

 
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Reform of Credit Rating Agency Regulation in Europe
uncertainty about the credit quality of the investment could undermine the . Prepared by BlackRock Investments, LLC, member FINRA. © 2012 BlackRock, Inc.
https://www2.blackrock.com/webcore/litService/search/getDocument.seam?venue=PUB_IND&source=GLOBAL&contentId=1111160501

Print - FINRA - Rules and Regulations
SR-FINRA-2011-035 has been approved by the SEC. . and the general economy, and is based on an evaluation of objective factors, including the credit quality .
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Credit Quality Definition | Investopedia
One of the principal criteria for judging the investment quality of a bond or bond mutual fund. As the term implies, credit quality informs investors of a bond or .
http://www.investopedia.com/terms/c/creditquality.asp

Letter from Burt White, Chief Investment Officer, LPL
S&P kept the short-term rating of the United States at the top rating of A1+. . States was downgraded one level by China's Dagong Global Credit Rating Company . Financial Services Group, Inc., each of which is a member of FINRA/ SIPC.
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Fido's marketing of ultrashort-bond fund ends in $375K settlement ...
Company agrees to pay sum to settle Finra charges it exaggerated credit quality of securities in fund. Reprints. By Dan Jamieson. July 18, 2012 3:36 pm ET .
http://www.investmentnews.com/article/20120718/FREE/120719921

Credit Quality and the New Dynamics of Credit Ratings
Mar 14, 2012 . o Currently 11 credit rating agencies are registered with the. Commission as . Securities, LLC, member NYSE, FINRA and SIPC. Questions .
http://www.treasurer.ca.gov/cdiac/seminars/2012/20120313/day2/4.pdf

 
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Fixed Income Markets in 2012 - O'Melveny & Myers
banks, credit rating agencies, OTC derivatives, and municipal securities. The SEC and. FINRA have already made significant regulatory moves and have .
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Short Duration Government Bond Fund - Wells Fargo Advantage ...
The Overall Morningstar Rating, a weighted average of the . Bottom-up credit selection process: The team's credit selection process of tactically trading . The funds are distributed byWells Fargo Funds Distributor, LLC, Member FINRA/SIPC , .
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Finra warns B-Ds about their bond ratings - InvestmentNews
Apr 9, 2010 . Specifically, Finra said in the letter that the practice of using a . that the fund's overall credit quality has been independently determined.
http://www.investmentnews.com/article/20100409/FREE/100409852

Negative Watch Definition | Investopedia
A status that the credit-rating agencies (Standard and Poor's, Moody's and Fitch) give a company while they are deciding whether to lower that company's credit .
http://www.investopedia.com/terms/n/negative-watch.asp

 
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Fidelity Settles FINRA Charges Involving Fidelity's Ultra Short Bond ...
Jul 19, 2012 . Finra alleged that Fidelity's two broker-dealers, Fidelity Brokerage . to state that the fund held “high-credit-quality” fixed-income securities.
http://www.whitesecuritieslaw.com/2012/07/19/fidelity-settles-finra-charges-involving-fidelitys-ultra-short-bond-fund/

Bond Rating Definition | Investopedia
A grade given to bonds that indicates their credit quality. Private independent rating services such as Standard & Poor's, Moody's and Fitch provide these .
http://www.investopedia.com/terms/b/bondrating.asp

 
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LPL Portfolio Compass - MONECO Advisors
LPL Financial Member FINRA/SIPC . and credit risk as well as additional risks based on the quality of issuer coupon rate, price, yield, maturity and redemption .
http://www.monecoadvisors.com/lplcompass.pdf

Bond Spreads
. bonds and bond indexes of differing credit quality, demonstrating how much . The difference in yield between the FINRA/Bloomberg Corporate Bond Index .
http://www.bondtools.com/spreads.html

 
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West Virginia Moody's bond updates - Bonds - MunicipalBonds.com
Want an easier way to. Member FINRA/SPIC . Moody's Research Reports give you an in-depth perspective into the credit quality of an issuer. Each report is a .
http://westvirginia.municipalbonds.com/bonds/moodys_reports

Investment Grade Definition | Investopedia
Bond rating firms, such as Standard & Poor's, use different designations consisting of upper- and lower-case letters 'A' and 'B' to identify a bond's credit quality .
http://www.investopedia.com/terms/i/investmentgrade.asp

 
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Bonds - NYTimes.com
FINRA TRACE Corporate Bonds. Yield; 52-week total return . Credit ratings from Moody's, Standard & Poor's and Fitch Ratings. Copyright © 2012. Quotes and .
http://markets.on.nytimes.com/research/markets/bonds/bonds.asp

People Moves: News at Merrill, Finra, S&P, Credit Suisse ... | Job ...
Sep 5, 2012 . Mark Adelson, who was the chief credit officer at Standard & Poor's before he was demoted late last year, has left the company. Reuters Finra .
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Interactive Data-FINRA Expands Info on Structured Trading Reports
Aug 6, 2012 . The FINRA-Interactive Data Structured Trading Aggregate Reports were . evaluations, with U.S. municipal bonds, global securitized securities and credit default . It also features Interactive Data's high-quality reference data.
http://www.securitiestechnologymonitor.com/news/Interactive-Data-FINRA-Vantage-31081-1.html

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PIMCO Bond Fund Quarterly Fact Sheet - Managers Investment Group
rate sensitivity (duration) and average credit quality of the Fund's underlying holdings. Quality Breakdown . tors, Inc., a member of FINRA. © (Insert year) .
http://investor.managersinvest.com/download/quarterly/PIMCOBond.p-d-f

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ON REGULATING CONFLICTS OF INTEREST IN THE CREDIT ...
Credit rating agencies play a critical role in the health and stabil- ity of the . ( FINRA),54 about sixty-five percent of reportable trades in corporate bonds are .
http://www.law.nyu.edu/ecm_dlv3/groups/public/@nyu_law_website__journals__journal_of_legislation_and_public_policy/documents/documents/ecm_pro_068037.pdf

 

The credit rating agencies: Power, responsibility and accountability
Jul 19, 2012 . Robert D. Piliero of Butzel Long discusses the role credit rating agencies . FINRA findings and costs no basis for SEC appellate jurisdiction .
http://newsandinsight.thomsonreuters.com/Securities/Insight/2012/07_-_July/The_credit_rating_agencies__Power,_responsibility_and_accountability/


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