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Kenneth E. Bentsen Jr., the securities industry trade group's CEO, warned against a proposal to exempt some muni advisors from registering as broker-dealers.
December 5 -
Securities and Exchange Commission Chair Jay Clayton seemed noncommittal on a proposed exemptive order for municipal advisors.
November 19 -
Though enforcement cases slightly decreased this past year, lawyers say the Securities and Exchange Commission is just as aggressive as ever.
November 15 -
The changes will slim down underwriters' disclosures to issuers, which many believed had become too lengthy and wordy to be useful.
November 11 -
The Berkeley County School District and its former financial advisors and bond counsel said settlement talks were unsuccessful.
October 16 -
Administrative failures or a lack of understanding of the rule may be to blame.
October 7 -
Municipal advisors can begin taking their principal exams in November.
October 4 -
The Securities and Exchange Commission is seeking comment on exemptive relief for municipal advisors in some activities in private placement deals, eliciting fierce resistance from broker-dealer groups.
October 3 -
At the SEC's invitation, Bond Dealers of America submitted a proposed framework for an exemptive order aimed at muni advisors on private placement deals.
September 26 -
The 28 members of The Bond Buyer's 2019 Rising Stars class are taking on the evolving challenges of the muni market with technology and entrepreneurial zeal.
September 23