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The SEC approved the changes to Rule G-11 on primary offerings and Rule G-32 on disclosures in connection with primary offerings late last week after a two-year review process by the MSRB.
July 1 -
Investors will still lose big as the SEC's case against Dwayne Edwards and Todd Barker is now all but over.
July 1 -
Investors are likely to lose millions whether the Atlanta-based financier continues under a court-appointed monitorship or not.
June 26 -
A PFM letter caused a firestorm among dealer groups who say that if municipal advisors want to engage in broker-dealer activities, they need to register as such.
June 24 -
Brogdon's high personal spending and failure to sell his assets spell an end to the usefulness of his repayment plan, the SEC told a federal judge.
June 21 -
The judge ruled for Peter Cannava, who had denied wrongdoing even after Wells Fargo and other defendants settled charges.
June 12 -
The Securities and Exchange Commission agreed to settle with Oyster Bay, New York, and are awaiting a district court judge's approval.
June 10 -
Abonamah will oversee the municipal securities office's strategic initiatives in his new role.
June 4 -
The amended lawsuit references inside sources who allegedly confirm that the banks worked together in violation of antitrust law.
June 3 -
The rule will take effect 30 days after publication in the Federal Register, which usually takes about three business days.
May 31