-
Brian Zwerner, former manager of Bank of America's municipal derivatives trading desk, received three years' probation and a $10,000 fine for mini bond bid-rigging
July 25 -
Municipal bond issuers, dealers, and lawyers are making another push to alter the Securities and Exchange Commission's Municipalities Continuing Disclosure Cooperation initiative, asking the SEC to narrow the program's scope and delay its deadline by several months.
July 24 -
The Kansas Public Employees Retirement System is under investigation by the Securities and Exchange Commission for its pension disclosure practices, a probe that began in 2010, according to a KPERS spokeswoman and bond documents.
July 22 -
Based on two court cases, two former JPMorgan bankers want the SEC's pay-to-play case involving Jefferson County, Ala.'s failed sewer deals dismissed.
July 18 -
Louisiana issuers should take advantage of the SEC's initiative to self-report continuing disclosure lapses, the State Bond Commission urged Thursday.
July 17 -
A Republican congressman is pushing the Securities and Exchange Commission to limit the scope of its disclosure violations self-reporting program to the last two years, warning that if it does not he and other lawmakers may seek a legislative solution.
July 17 -
Four Senators from both sides of the aisle are warning the Treasury Department that the tax consequences of proposed rules could deter state and local governments and businesses from using institutional money market funds for cash management.
July 16 -
The Financial Industry Regulatory Authority has permanently barred a former employee of a broker-dealer and investment advisory firm from the financial markets and ordered him to pay more than $200,000 of restitution to a customer he swindled.
July 15 -
Utah Treasurer Richard Ellis is making a push to educate his state's issuers about the Securities and Exchange Commissions Municipalities Continuing Disclosure Cooperation initiative, which many public officials remain uninformed about.
July 11