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Rules implementing the Volcker Rule should exempt the traditional TOB structure, SIFMA says.
September 25 -
Rebecca Olsen will replace Jessica Kane as SEC muni securities office director on an acting basis.
September 20 -
The SEC's Catherine McGuire, credited with writing key muni rules, retires
September 20 -
MSRB seeking information on primary offering practices, including issue price rules.
September 14 -
Municipal Bond Club of New York members were urged to "continue preaching" the benefits as Congress debates tax reform.
September 14 -
FINRA dings firms for failing to report muni trades, trading below minimum denominations.
September 14 -
MSRB tells issuers how to avoid failing to widely disclose information to all investors.
September 13 -
Any voluntary disclosure that is reasonably expected to reach investors is subject to the antifraud provisions of the federal securities laws.
September 12Bracewell LLP -
Former SEC lawyer Peter Chan has some ideas where SEC enforcement actions may be headed.
September 8 -
If Trump nominates Robert Jackson and the Senate confirms Peirce and him, the SEC would be full.
September 5