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The SEC's first muni enforcement case of the year shows its willingness to use the Dodd Frank Act to punish some breaches of fiduciary duty that hadn't yet been spelled out by the MSRB.
January 8 -
The Municipal Securities Rulemaking Board is looking for five people knowledgeable about the muni market to sit on its board starting Oct. 1.
January 8 -
An Atlanta-based municipal advisor defrauded a Mississippi city and breached its fiduciary duty, the SEC said.
January 5 -
Nachman Aaron Troodler's cooperation against Christopher St. Lawrence in the Ramapo, N.Y., case spared him jail time.
January 3 -
The SEC's Fixed Income Market Structure Advisory Committee has liquidity on the agenda for its first open meeting, scheduled for Jan. 11.
December 27 -
The market shouldn't expect a lot of rulemaking in 2018, but there will still be plenty of regulatory developments to look out for.
December 27 -
Regulators will focus on helping dealers and municipal advisors comply with recently adopted rules and will also monitor how tax reform legislation impacts muni market practices.
December 27 -
The SEC's muni enforcement focus in 2018 will include offering and disclosure-related fraud, broker-dealer abuses, municipal advisor misconduct, public corruption, and pay-to-play practices.
December 26 -
New York State’s fourth largest township already carries the lowest-possible investment grade rating from Moody’s Investors Service.
December 22 -
FINRA said Philip Fluegge violated its rules when he sold shares in municipal fund securities.
December 14