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Federal Reserve Bank of New York President William Dudley was investigated and cleared by an outside law firm for failing to disclose his half-sister’s position as an executive at Wells Fargo & Co., according to an annual disclosure filing.
September 1 -
The firm and its officials changed a city's existing disclosure agreement without telling investors.
August 24 -
The parties would have been more leniently treated if they reported failures under MCDC.
August 23 -
The Municipalities Continuing Disclosure Cooperation Initiative may have muddied some waters.
July 26 -
Questions have been raised about incentives provided to developer.
July 25 -
UBS' fine follows prior SEC action against the firm for minimum denomination violations.
July 17 -
Federal investigators are seeking to learn if the Related Group, Miami's biggest developer, lowered costs on an affordable-housing project by hiring subcontractors who failed to pay employment taxes, the Miami Herald has learned.
July 6 -
The U.S. Securities and Exchange Commission may take action against bankers from Barclays Plc and Morgan Stanley for their roles in Puerto Rico bond sales before a worsening fiscal crisis sent it hurtling toward bankruptcy.
June 29 -
Four firms paid a combined $102,500 to settle FINRA charges related to violations of MSRB gift and reporting rules.
June 15 -
The SEC under chair Jay Clayton will operate with two co-directors of enforcement, Stephanie Avakian and Steven Peikin, and at least one of them has experience with the municipal bond market.
June 9