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The Commission’s enforcement results highlight the importance of proper disclosure.
November 19 -
The presence of unregistered — and potentially unqualified — advisors providing municipal advisory services to state and local governments and other municipal entities is a cause for concern and greater regulatory scrutiny.
October 12Municipal Securities Rulemaking Board. -
Officials from multiple regulators came together on Thursday for a detailed discussion about municipal advisory regulation.
October 8 -
Erring on the side of caution and good documentation are key to managing conflicts of interest
October 7 -
A firm and its two principals have been charged for an improper fee-splitting arrangement under the relatively new regulatory regime for municipal advisors.
September 23 -
RBC and two muni managers settled charges of flipping bonds in the SEC's latest action targeting abuse of retail order periods.
September 17 -
The Securities and Exchange Commission settled with the Sweetwater Union High School District as well as former Chief Financial Officer Karen Michel.
September 16 -
The settled proceeding against Anthony Falsetta, announced Tuesday, is the latest in a string of SEC cases targeting violations of retail order periods.
August 31 -
The trouble stems from a West Virginia tender offer deal Crews & Associates recommended to an issuer.
August 26 -
Former Markham, Illinois, Mayor David Webb Jr. was accused of pocketing bribes for a project financed with bonds. He also pled guilty to criminal charges.
August 10