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The Securities and Exchange Commission is charging a father, his son, and five of their associates with defrauding investors in Native American tribal bonds to pay for, among other things, their luxury expenses and legal costs associated with prior fraud charges.
May 11 -
The Securities and Exchange Commission is using Peter Cannava, a banker involved in an ill-fated private placement for a startup video game company, as a scapegoat and has no basis for charging him with defrauding investors, his lawyers claimed this week.
May 11 -
Municipal industry experts on Thursday urged analysts to continue focusing on how the presence of statutory liens can change the treatment of debt in bankruptcy proceedings and ratings analyses.
May 6 -
The par amount and number of municipal securities trades rose in the first quarter of this year, compared to both the previous and same quarters last year, according to Municipal Securities Rulemaking Board statistics posted Thursday. But the number of continuing disclosure documents received dropped to 46,623 in the first quarter of this year from 47,934 during the same period last year.
May 5 -
A regulatory official and market participants sparred over the merits of the Securities and Exchange Commission's voluntary continuing disclosure enforcement initiative during a panel here on Wednesday while acknowledging the need to improve municipal disclosure.
May 5 -
The Municipal Securities Rulemaking Board is opening an application window between May 3 and May 10 to allow more individuals associated with banks and broker-dealers to apply for a seat on next years board.
May 2 -
The Securities and Exchange Commission on Friday approved Municipal Securities Rulemaking Board amendments to facilitate moving the municipal securities industry to a two- instead of three-day settlement cycle.
April 29 -
Dustin McDonald, the current director of the Government Finance Officers Associations federal liaison center, is leaving GFOA on Friday to lead the marijuana technology company Weedmaps government relations practice.
April 28 -
A lawyer facing Securities and Exchange Commission charges that he violated federal securities laws as part of a pay-to-play scheme to secure Ohio pension business is arguing the commissions charges cannot apply to him and should be dismissed.
April 27 -
The Municipal Securities Rulemaking Board is making its trade data available through a research platform to individuals associated with more than 400 institutions around the world, but without the controversial anonymous dealer identifiers in a proposed new product still under development.
April 25