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Acacia and Estrada grew substantially.
February 1 -
Since a temporary exemption allowing muni advisors to facilitate certain private placement deals expired, a federal court cannot strike it down, the SEC argued.
January 26 -
This will be MSRB’s first board meeting of the calendar year.
January 21 -
Steven Kantor, a regional managing director based in New York, was among those cut, sources said.
January 19 -
Robbi Jones, principal at Kipling Jones & Co., received that ruling on appeal from FINRA’s National Adjudicatory Council late last month.
January 4 -
Sources say pricing of bonds will be a prevalent issue in 2021 following comments made by bipartisan SEC commissioners.
January 4 -
SEC Chair Clayton told Rep. French Hill, R-Ark., late last week that he expects the program to sunset at year's end as scheduled.
December 22 -
Multiple news articles, which the SEC did not include, contradict the commission's major reasoning for why a temporary exemption for municipal advisors was needed, SIFMA said.
December 18 -
The SEC said the court should oppose SIFMA's motion to include news articles in the proceedings, saying the group relied on only one rationale.
December 14 -
The number of issuers using a temporary exemption jumped to 101 in October from 35 the previous month.
December 11