Sarah Wynn covers securities and infrastructure for the Washington bureau.
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The firm violated municipal advertising and fair dealing rules, the SEC found.
By Sarah WynnDecember 23 -
SEC Chair Clayton told Rep. French Hill, R-Ark., late last week that he expects the program to sunset at year's end as scheduled.
By Sarah WynnDecember 22 -
Congress is set to pass a major $900 billion relief bill on Monday after getting over a significant hurdle from Senate Republicans seeking to restrict the Federal Reserve’s powers next year.
By Sarah WynnDecember 21 -
Multiple news articles, which the SEC did not include, contradict the commission's major reasoning for why a temporary exemption for municipal advisors was needed, SIFMA said.
By Sarah WynnDecember 18 -
FINRA announced the settlement this week, in which RBC agreed to a censure while neither admitting nor denying FINRA’s findings that it violated Municipal Securities Rulemaking Board Rule G-27 on supervision. RBC was not fined.
By Sarah WynnDecember 17 -
The former South Bend, Indiana mayor understands the needs of state and local governments, though he lacks experience running a large organization.
By Sarah WynnDecember 16 -
The SEC said the court should oppose SIFMA's motion to include news articles in the proceedings, saying the group relied on only one rationale.
By Sarah WynnDecember 14 -
The number of issuers using a temporary exemption jumped to 101 in October from 35 the previous month.
By Sarah WynnDecember 11 -
As co-director of the Enforcement Division, Stephanie Avakian oversaw charges the SEC made against municipal bond “flipping” schemes.
By Sarah WynnDecember 10 -
The reoccuring Water Resources Development Act is expected to pass the Senate this month.
By Sarah WynnDecember 9