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Former broker Deborah Kelley could end up paying close to half a million dollars in fines, penalties, and restitution for her role in defrauding the New York State Common Retirement Fund.
March 29 -
The National Association of State Treasurers is using infrastructure finance as an argument to urge lawmakers to pass legislation reclassifying some munis as high-quality liquid assets.
March 27 -
Vendors, dealers, and regulators say that the integration of sometimes subjective markup disclosure rule requirements into existing broker-dealer systems is proving to be a heavy lift for the industry.
March 22 -
A newly-published MSRB document is aimed at helping to reign in what the SEC has described as fairly widespread violations occurring at smaller municipal advisory firms.
March 21 -
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 -
Analysts have noticed a definite hesitance of issuers to talk to them one-on-one and blame the MSRB's market advisory warning issuers against revealing material information to select investors.
March 5 -
The Securities Exchange Commission and the former town attorney for Oyster Bay, N.Y. have agreed to a proposed settlement of SEC charges.
March 2 -
Groups representing both dealer and non-dealer muni advisors are opposed to the MSRB's new rule and rule changes on advertising because they are too dissimilar from FINRA's rules and could be confusing.
March 1 -
The SEC told a federal court that it will not pursue a judgment against the muni advisor firm or its principal unless it appears that the settlement process has stalled.
February 27 -
As bond lawyers meeting in Phoenix discussed current topics in securities law and enforcement on Thursday, one theme that emerged was the importance of a smart response to SEC inquiries.
February 22