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The SEC, MSRB and FINRA will gather in Denver Nov. 20-21 to discuss compliance for MAs and broker-dealers, examination priorities, and more.
July 1 -
The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.
June 28 -
Investors may want to consider non-disclosure of climate hazards as a symbol of non-resilient projects and limited planning.
June 18 -
New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem
June 11 -
The use of unregistered municipal advisors in the public-private partnership sector can lead to unnecessarily expensive deals for cities and states, said SEC's Dave Sanchez.
June 11 -
The latest round of criticism sounds the alarm bells for closer examination and further exemptions for certain trades and certain broker dealers.
May 20 -
The MSRB's move to a one-minute reporting standard was questioned in a House hearing Tuesday in the context of regulation that could go too far.
May 7 -
Proposed rulemaking on the FDTA is expected in June, but clarity on what exactly it means for the muni market is years down the line.
May 2 -
In a move that kicks the can down the road at the very least, the Commission has begun a process that often results in outright rejection.
April 23 -
The SEC has won a partial victory against Choice Advisors and its principal Matthias O'Meara for their role in acting as unregistered brokers and for engaging in a fee-splitting arrangement.
April 23