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The Securities Exchange Commission and the former town attorney for Oyster Bay, N.Y. have agreed to a proposed settlement of SEC charges.
March 2 -
The 29% tax exposure rate is up for a readjustment because the new tax bill slashed the corporate tax rate to 21% from 35% and also lowered individual tax rates.
February 28 -
The SEC told a federal court that it will not pursue a judgment against the muni advisor firm or its principal unless it appears that the settlement process has stalled.
February 27 -
As bond lawyers meeting in Phoenix discussed current topics in securities law and enforcement on Thursday, one theme that emerged was the importance of a smart response to SEC inquiries.
February 22 -
Brad Waterman says it's unfair for the IRS to withhold documents pertaining to a "suspected practitioner misconduct" charge that was filed against him but never investigated.
February 8 -
All but one of the remaining defendants in the Securities and Exchange Commission's case against Ramapo, N.Y., have agreed to settlement terms, according to court documents.
February 2 -
The sanctions involved eight transactions of Alaska bonds issued in 2015 and FINRA found the firm had inadequate supervisory procedures.
February 1 -
Bondholders now have until Jan. 26 to agree to the tender exchange on up to $435 million in bonds.
January 18 -
A tale of two bond-financed fertilizer projects in the Midwest -- how one is thriving with the IRS' blessing on the bonds and the other is at a virtual standstill and in a dispute with the tax regulator.
January 8 -
The decision impacts $1.26 billion of economic development revenue and refunding bonds issued by the company, which said it is considering its response to the IRS.
January 5