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The proposal would codify a supervisory system that recognizes the work from home reality.
May 13 -
The relief means little for traditional municipal issuers but will have an effect on some conduit borrowers and issuers "adjacent" to the municipal market.
October 31 -
PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.
December 22 -
Ruben James Rojas agreed to admit wrongdoing and pay a $50,000 fine after the Securities and Exchange Commission found that he misled bond investors in connection with a $100 million offering.
November 22 -
Legislation requiring standardized financial disclosure from issuers is attached to a must-pass defense bill, which narrows the window to fight the measure.
September 30 -
The Municipal Securities Rulemaking Board voted to amend its Rule G-40 on advertising by muni advisors and Rule A-12 on registration during its final board meeting of the year.
September 19 -
Opponents say the legislation could prompt issuers to drop out of the public bond market while supporters say investors and regulators deserve standardized financials.
September 16 -
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
September 14 -
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
September 13 -
Capital Market Advisors responded to the Securities and Exchange Commission's claims that the charges are inconsistent or in excess of those imposed by the applicable laws.
September 9