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A former Sterne Agee & Leach managing director pleaded guilty to lavishing a portfolio manager at New York state’s pension fund with trips to luxury vacation destinations in exchange for steering hundreds of millions in trading business her way.
May 31 -
The MSRB has filed a series of changes to its rule on customer account transfers.
May 30 -
Groups and companies representing bankers and investors are asking the SEC to further tailor its event disclosure proposal.
May 25 -
The GFOA will continue its efforts to narrow the SEC's events notice proposal in the wake of its letter on the topic.
May 22 -
Issuers and others suggested market participants come together to narrow the SEC's proposal on disclosing alternative debts.
May 22 -
Panelists are concerned some issuers may enter into bank loan agreements that can hurt their finances.
May 18 -
MAs will soon be subject to continuing education requirements following SEC approval of MSRB proposal.
May 17 - Dealers, issuers criticize SEC material event disclosure proposal as too broad, investors support it
Issuers, dealers want SEC to rethink its event notice disclosure proposal; investor groups support it
May 16 -
All debt obligations should be disclosed without regard to materiality, NFMA said in a letter to the SEC.
May 15 -
Jay Clayton became the 32nd chair of the SEC after being sworn into the rule on Thursday.
May 4