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SEC enforcement officials want muni market participants to know that they have 30 people, mostly staff attorneys, in eight offices around the country who have significant expertise in muni issues.
September 11 -
Securities and Exchange Commission officials rejected bond lawyers suggestions that the settlements with 36 underwriters under the Municipalities Continuing Disclosure Cooperation initiative contained specific parameters of continuing disclosure violations.
September 11 -
Should industry practices on pricing new bonds change in the wake of the SECs enforcement case against Edward Jones?
September 10 -
The U.S. Justice Departments antitrust division is conducting a general inquiry into whether certain brokers brokers have engaged in anti-competitive practices with regard to pricing for secondary market and other municipal bond trades, according to industry officials.
September 3 -
Arbitration panels ordered UBS Financial Services, Inc. and its subsidiary in Puerto Rico to pay more than $5.44 million to investors in the firm's proprietary closed-end mutual funds that predominantly contained Puerto Rico bonds.
September 2 -
A U.S. district court judge has scheduled a trial for late summer of next year in the Securities and Exchange Commission case against the city of Miami and Michael Boudreaux, the city's former budget director.
August 26 -
Three federal appeals court judges dismissed a challenge Tuesday to the Securities and Exchange Commission's pay-to-play rule for investment advisors that has similarities to the Municipal Securities Rulemaking Board's own pay-to-play rule for broker-dealers.
August 25 -
The National Association of Bond Lawyers released a paper Thursday giving its members tools to help issuer clients develop written disclosure policies and procedures in response to recent Securities and Exchange Commission cases against issuers.
August 20 -
Bracewell & Giuliani partner Shamoil T. Shipchandler will head the Fort Worth regional office of the Securities and Exchange Commission beginning in October, the agency said.
August 18 -
The Financial Industry Regulatory Authority ordered seven broker-dealer firms to pay a total of more than $90,641 to settle charges of muni trade reporting failures and excessive markups, as well as engaging in muni business without qualified personnel.
August 18