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Securities and Exchange Commission Chair Mary Jo White said she will work to make regulatory and other changes to support shortening the settlement cycle for several types of secondary market transactions from three days after a trade date to two days by 2017.
September 16 -
Securities and Exchange Commission top cop Andrew Ceresney and a Justice Department official warned legislators on Wednesday that a bill to update the Electronic Communication Privacy Act of 1986 could hurt their enforcement programs.
September 16 -
Dealer groups oppose a Municipal Securities Rulemaking Board proposal to provide academics with muni trade and pricing data with anonymous dealer identifiers while researchers contend the new data will add to market transparency.
September 15 -
Four broker-dealer firms have been ordered by the Financial Industry Regulatory Authority to pay a total of $67,500 for municipal trade reporting and related violations.
September 15 -
Dealer, issuer and investment company groups are urging the Securities and Exchange Commission to disapprove a Municipal Securities Rulemaking Board rule that would impose core duties on municipal advisors, warning it is overly burdensome and anti-competitive.
September 14 -
The American College of Bond Counsel has elected officers and directors for the coming year.
September 14 -
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 Municipal Securities Rulemaking Board plans to administer its pilot Series 50 municipal advisory representative qualification exam from Jan. 15 through Feb., 15, 2016.
September 8