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Some worry that MSRB's late release of an updated set of FAQs on markup disclosure requirements will hinder their meeting the May 14 effective date.
March 20 -
The SEC's Office of Compliance Inspections and Examinations found municipal advisors had trouble meeting registration, books and records and supervisory requirements.
November 13 -
Several big names in the muni market will be part of a new SEC committee
November 10 -
The breach occurred in 2016, but was not publicly addressed by the SEC until Sept. 20.
October 4 -
SEC rules provide municipal advisors an opportunity strengthen their bonds with issuer clients.
August 11Lumesis Inc. -
Market participants are unsure what the Municipal Securities Rulemaking Board is after.
August 8 -
SEC chair Jay Clayton wants to ensure the fixed income market is efficient and transparent.
July 12 -
The SEC's Investor Advocate said muni market reform will be one of five areas for "significant time and attention."
June 29 -
The SEC's chair said the commission's fiscal 2018 budget request would help enforcement and examinations.
June 27 -
Groups and companies representing bankers and investors are asking the SEC to further tailor its event disclosure proposal.
May 25